Thomas A. Vetrick

Some features on this profile are disabled

CRD#: 4233732

Professional summary

Thomas Anthony Vetrick was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Thomas had worked at 4 firms, which includes EAGLE STRATEGIES LLC, NYLIFE SECURITIES LLC, PRUCO SECURITIES LLC., AMERIPRISE ADVISOR SERVICES INC..

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 24, 2006 - May 15, 2012

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

DUBLIN, OH

Past

May 11, 2005 - May 15, 2012

NYLIFE SECURITIES LLC

CRD#: 5167

DUBLIN, OH

Past

June 10, 2003 - January 14, 2005

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

COLUMBUS, OH

Past

November 19, 2002 - January 14, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

August 24, 2000 - December 17, 2002

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/31/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/19/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/23/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/18/2003

Investment Company Products/Variable Contracts Principal Examination

Current Firm

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

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

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 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	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas A. Vetrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NYLIFE SECURITIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/31/2001

Series 63

Date: 7/28/2000

Series 7

Date: 12/19/2000

Series 6

Date: 8/23/2000

Series 26

Date: 12/18/2003

Current Firm

EAGLE STRATEGIES LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EAGLE STRATEGIES LLC

TRUST BUT VERIFY

Similar Advisors