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Regina J. Caudill

EAGLE STRATEGIES LLC
Louisville, KY 40222
Some features on this profile are disabled
CRD#: 3218663
RC

Professional summary

Regina J Caudill, who also goes by Gina Caudill, Gina Miles, Regina J Miles, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Louisville, Kentucky and NYLIFE SECURITIES LLC located in Louisville, Kentucky.

Regina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Regina has worked at 2 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gina Caudill | Gina Miles | Regina J Miles

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Regina J Caudill's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 13, 2012 - Present

EAGLE STRATEGIES LLC

Office #1: 9300 Shelbyville Road Suite 507, Louisville, KY 40222
RIA
CRD#: 110826
Louisville, KY
Current

June 8, 2001 - Present

NYLIFE SECURITIES LLC

Office #1: 9300 Shelbyville Road Suite 1250, Louisville, KY 40222
BD
CRD#: 5167
Louisville, KY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA
Registered Investment Advisory firm - (10/14/1988 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
Kentucky
(3/13/2012)
RR
Kentucky
(12/6/2012)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/7/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/13/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/7/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/14/2010
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/23/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA
Registered Investment Advisory firm - (10/14/1988 Approved)
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Contact information

Main Address
51 Madison Avenue 12th Floor, New York, NY 10010
Mailing Address
51 Madison Avenue Floor 3b, Room 0304, New York, NY 10010
Phone number
(888) 695-3245
Established
Firm type
Fiscal year end
# of Employees
2,804

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (11/11/2025)
EAGLE STRATEGIES DISCLOSURE BROCHURE (10/23/2025)

Regulatory assets under management

Total Number of Accounts111,361
AUM (Assets Under Management)$ 25,395,380,570

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/24/2025
Cover Page
Report
04/25/2024
Cover Page
Report
12/20/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

EAGLE STRATEGIES LLC

CRD#: 110826Louisville, KY 40222

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