Kenneth P. Harper

EAGLE STRATEGIES LLC

White Plains, NY 10601

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CRD#: 4413094

Professional summary

Kenneth Peter Harper is a registered financial advisor currently at EAGLE STRATEGIES LLC located in White Plains, New York and NYLIFE SECURITIES LLC located in White Plains, New York.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kenneth has worked at 7 firms and has passed the Series 66, SIE and Series 7 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.

[Newtown Rotary Club Foundation; charitable foundation affiliated with the Newtown Rotary Club; PO Box 263 Newtown CT 06470; start 09/2009; Board member; no compensation; 4 hours per month, 0 during business hours; Bookkeeper for the foundation] [Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered insurance products; 777 Westchester Ave White Plains NY 10604; start date 06/2020; Commissions; 10 hours per month, 5 during securities trading hours; insurance related]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Peter Harper's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 11, 2020 - Present

EAGLE STRATEGIES LLC

Office #1: 44 South Broadway, White Plains, NY 10601

RIA

CRD#: 110826

White Plains, NY

Current

July 13, 2020 - Present

NYLIFE SECURITIES LLC

Office #1: 44 South Broadway Suite 1801, White Plains, NY 10601

CRD#: 5167

WHITE PLAINS, NY

Past

February 14, 2018 - June 25, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

NORWALK, CT

Past

February 14, 2018 - June 25, 2019

LPL FINANCIAL LLC

CRD#: 6413

NORWALK, CT

Past

January 18, 2012 - February 14, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

NORWALK, CT

Past

January 17, 2012 - February 14, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

NORWALK, CT

Past

August 3, 2009 - January 18, 2012

EDWARD JONES

RIA

CRD#: 250

NEWTOWN, CT

Past

August 3, 2009 - January 18, 2012

EDWARD JONES

CRD#: 250

NEWTOWN, CT

Past

July 3, 2003 - October 20, 2008

NEW ENGLAND SECURITIES

RIA

CRD#: 615

WESTPORT, CT

Past

June 17, 2003 - October 20, 2008

NEW ENGLAND SECURITIES

CRD#: 615

WESTPORT, CT

Past

September 6, 2001 - May 1, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, 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".

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.

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

Connecticut
(7/27/2020)

IAR

Connecticut
(8/11/2020)

New Jersey
(7/27/2020)

New York
(7/13/2020)

IAR

New York
(8/3/2021)

North Carolina
(8/13/2024)

Ohio
(3/8/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/31/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/2001

General Securities Representative Examination

SRO Registrations

FINRA

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)

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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)

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.

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Kenneth P. Harper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Peter Harper's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

EDWARD JONES

EDWARD JONES

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/31/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/5/2001

FINRA

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

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