MR
Marc I. Rosenthal
EAGLE STRATEGIES LLC
WILLIAMSVILLE, NY 14221
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CRD#: 4379930
MR
Professional summary
Marc I Rosenthal, AIF®, who also goes by Marc L Rosenthal, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Williamsville, New York and NYLIFE SECURITIES LLC located in Williamsville, New York.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Marc has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marc L Rosenthal
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.
[INSURANCE BROKERING; APPOINTED WITH OUTSIDE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; DBA ROI FINANCIAL GROUP;5780 Main St., Williamsville, NY 14221; INVESTMENT RELATED] [Sheridan Services Center, LLC (Dormant); Dormant company as of 12/31/2017. Held real estate from previous DBA location. No active websites or social media sites.; 8685 Sheridan Drive Williamsville, NY 14221; Start Date 01/2009; Role/Title: Owner; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [Limestone Services Center, LLC; Real estate holding company; 7 Limestone Drive, Williamsville, NY 14221; Start Date 08/2018; Role/Title: Owner; Not Investment Related; 5 hours per month; 0 hours per month during securities trading hours] [Kaleida Health Foundation; The Kaleida Health Foundation, by fostering charitable relationships and increasing philanthropy, supports Kaleida health in its mission to advance the health of our community every day through exceptional care, education and research.; 1028 Main Street, 4th Floor, Buffalo, NY 14202; Start Date 12/2015; Role/Title: Officer; Not Investment Related; 5 hours per month; 0 hours per month during securities trading hours;Attend quarterly board meetings, advocacy, attend and help coordinate events and contribute financially] [Amherst Youth Hockey Association; Local youth hockey program supporting children in the Western New York community.; 1650 Amherst Manor Dr, Buffalo, NY 14221; Start Date 06/2015; Role/Title: Board Member; Not Investment Related; 5 hours per month; 0 hours per month during securities trading hours] [Ten Score, LLC; purchase of real estate for rental purposes. I would be a passive investor, without day to day responsibilities.; 7 Limestone Drive, Williamsville, NY 14221; Start Date 11/2014; Role/Title: Investor; Investment Related; 5 hours per month; 0 hours per month during securities trading hours] [Nylarc Holding Company Inc; Reinsuring the life insurance that I write with NYL; 51 Madison Ave, New York, NY 10010; Start Date 10/2010; Role/Title: Officer; Investment Related; 1 hours per month; 1 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Marc I Rosenthal'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®
Experience
Current
March 3, 2017 - Present
EAGLE STRATEGIES LLC
Office #1: New York Life Insurance 6700 Main Street, Williamsville, NY 14221RIA
CRD#: 110826
WILLIAMSVILLE, NY
Current
July 23, 2001 - Present
NYLIFE SECURITIES LLC
Office #1: New York Life Insurance 6700 Main Street, Williamsville, NY 14221BD
CRD#: 5167
WILLIAMSVILLE, NY
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
Alabama(6/13/2023)
RR
Arizona(4/28/2021)
RR
California(7/13/2020)
RR
Colorado(4/8/2022)
RR
Connecticut(8/7/2018)
RR
Florida(12/13/2007)
RR
Georgia(9/17/2012)
RR
Hawaii(3/7/2024)
RR
Illinois(5/3/2021)
RR
Kansas(7/6/2021)
RR
Maine(5/12/2022)
RR
Maryland(4/1/2015)
RR
Massachusetts(4/1/2019)
RR
Michigan(10/11/2024)
RR
Montana(6/13/2023)
RR
Nevada(6/24/2020)
RR
New Jersey(4/1/2019)
RR
New York(8/24/2001)
IAR
New York(8/3/2021)
RR
North Carolina(10/19/2017)
RR
Ohio(10/24/2019)
RR
Oregon(4/4/2025)
RR
Pennsylvania(7/27/2004)
RR
Rhode Island(8/5/2021)
RR
South Carolina(6/13/2023)
RR
Tennessee(1/8/2019)
RR
Texas(11/28/2018)
IAR
Texas(1/25/2019)
RR
Utah(11/23/2020)
RR
Vermont(6/13/2023)
RR
Virginia(8/19/2022)
RR
Washington(6/13/2023)
RR
West Virginia(1/5/2022)
RR
Wisconsin(1/31/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
EAGLE STRATEGIES LLC
CRD#: 110826Williamsville, NY 14221TRUST BUT VERIFY
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