MA
Monty A. Alspaugh
EAGLE STRATEGIES LLC
ARLINGTON, TX
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CRD#: 4201153
MA
Professional summary
Monty Alan Alspaugh is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Arlington, Texas and NYLIFE SECURITIES LLC located in Dallas, Texas.
Monty is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Monty has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
[APPOINTED WITH VARIOUS OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; INSURANCE BROKER; INVESTMENT RELATED; START DATE 3/2003 ] [The Airfield Financial Group, LLC; commission receipt for outside brokered business 718 Hinsdale Dr. Arlington, TX 76006; Start Date 08/2018; Role/Title: Owner; Investment Related; 30 hours per month; 30 hours per month during securities trading hours] [Property and Casualty Sales; Appointed with outside carriers for the purpose of brokering property and Casualty products.; 718 Hinsdale Dr. Arlington, TX 76006; Start Date 06/2001; Role/Title: Insurance Broker; Investment Related; 1 hours per month; 1 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Monty Alan Alspaugh's 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®
NoneExperience
Current
April 5, 2005 - Present
EAGLE STRATEGIES LLC
Office #2: 5005 Lyndon B Johnson Fwy Ste 1600, Dallas, TX 75244RIA
CRD#: 110826
ARLINGTON, TX
Current
September 24, 2001 - Present
NYLIFE SECURITIES LLC
Office #1: 5005 Lyndon B Johnson Freeway Suite 1600, Dallas, TX 75244BD
CRD#: 5167
Dallas, TX
Past
June 26, 2000 - June 30, 2001
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
RR
California(1/30/2004)
RR
Oklahoma(4/17/2007)
RR
Texas(9/24/2001)
IAR
Texas(4/5/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
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.
