Steven M. Lipps
Professional summary
Steven Matthew Lipps, ChFC®, CLU® is a registered financial advisor currently at EAGLE STRATEGIES LLC located in San Diego, California and NYLIFE SECURITIES LLC located in San Diego, California.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Matthew Lipps's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 8, 2022 - Present
EAGLE STRATEGIES LLC
Office #1: 3550 Caminito El Rincon Unit 72, San Diego, CA 92130March 16, 2000 - Present
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/16/2003)
(3/16/2000)
(12/8/2022)
(9/22/2020)
(7/15/2020)
(10/30/2017)
(1/4/2021)
(3/15/2023)
(7/5/2022)
(9/21/2020)
(11/8/2023)
(8/26/2013)
(7/24/2023)
(2/11/2019)
(1/10/2019)
(4/19/2022)
(2/5/2019)
(8/17/2017)
(11/17/2016)
(3/21/2018)
Exams
Series 7TO
Date: 8/2/2024
General Securities Representative ExaminationFINRA
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
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