SL
Sherry Lin
EAGLE STRATEGIES LLC
Anaheim, CA 92806
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CRD#: 4370198
SL
Professional summary
Sherry Lin is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Anaheim, California and NYLIFE SECURITIES LLC located in Anaheim, California.
Sherry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Sherry has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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.
[DIAMOND BAR CHINESE AMERICAN ASSOCIATION AND SCHOOL; BOARD MEMBER; NON INVESTMENT RELATED; DIRECTOR OF PTA; START DATE 07/2008; 3207 AS BREA CAYON RD DIAMOND BAR CA] [Brea Korean Sister Community Associate; help Korean Americans to connect with the community, by hosting various community events to introduce Korean culture to the community.; 263 viking ave., brea, ca 92821; Start Date 07/2019; Role/Title: Board Member; Not Investment Related; 10 hours per month; 0 hours per month during securities trading hours] [Korean American Chamber of Commerce of Orange County; this is the non profit organization recruits korean american business owners for networking and service to public; 9828 Garden Grove Blvd., #207, Garden Grove, CA 92844; Start Date 09/2020; Role/Title: Director; Not Investment Related; 12 hours per month; 0 hours per month during securities trading hours; volunteer for events]
CRS (Client Relationship Summary) - RIA
Click below to view Sherry Lin'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
May 20, 2020 - Present
EAGLE STRATEGIES LLC
Office #1: 2400 E. Katella Ave Suite 410, Anaheim, CA 92806RIA
CRD#: 110826
Anaheim, CA
Current
June 9, 2003 - Present
NYLIFE SECURITIES LLC
Office #1: 2400 E. Katella Ave Suite 800, Anaheim, CA 92806BD
CRD#: 5167
Anaheim, CA
Past
April 12, 2002 - March 24, 2003
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
July 13, 2001 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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(6/9/2003)
IAR
California(5/20/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
