Brian M. Seipel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Michael Seipel was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1999. Brian had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2019 - April 1, 2021
EAGLE STRATEGIES LLC
November 15, 2019 - April 1, 2021
NYLIFE SECURITIES LLC
October 21, 2014 - September 27, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
September 2, 2014 - September 27, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
March 26, 2012 - August 26, 2014
FARMERS FINANCIAL SOLUTIONS, LLC
September 8, 2000 - September 30, 2010
FARMERS FINANCIAL SOLUTIONS, LLC
December 14, 1999 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
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
Exams
Series 7TO
Date: 1/1/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/1/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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
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.
