JC
James D. Cohen
EAGLE STRATEGIES LLC
COLCHESTER, VT 05446
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CRD#: 4464330
JC
Professional summary
James D. Cohen is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Colchester, Vermont and NYLIFE SECURITIES LLC located in Colchester, Vermont.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 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.
[INSURANCE BROKERING; APPOINTED WITH OUTSIDE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 463 MOUNTAIN VIEW DR, COLCHESTER, VT 05406; START DATE: 11/2008; ROLE/TITLE: INSURANCE BROKER; INVESTMENT RELATED] [OPERATING UNDER THE DBA NAME OF JCOHEN FINANCIAL FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; WILLISTON, VT; START DATE: 08/2017] [Greater Burlington YMCA; We are an inclusive, nonprofit organization joined together by a shared commitment to nurture the potential of kids, promote healthy living, and foster a sense of social responsibility. Strengthening community is our cause.; 298 College Street, Burlington VT 05401; Start Date 04/2024; Role/Title: Board Member; Not Investment Related; 6 hours per month; 2 hours per month during securities trading hours; I will serve on their Leadership and Governance Team. I will also serve a sub-role on their Finance committee.]
CRS (Client Relationship Summary) - RIA
Click below to view James D. Cohen'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
December 15, 2014 - Present
EAGLE STRATEGIES LLC
Office #1: 105 West View Road, Colchester, VT 05446RIA
CRD#: 110826
COLCHESTER, VT
Current
May 3, 2002 - Present
NYLIFE SECURITIES LLC
Office #1: 105 W. View Road Suite 201, Colchester, VT 05446BD
CRD#: 5167
Colchester, VT
Past
November 9, 2001 - April 15, 2002
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
Arizona(1/14/2025)
RR
California(1/4/2023)
RR
Colorado(2/16/2022)
RR
Connecticut(4/7/2025)
RR
Delaware(4/12/2023)
RR
Florida(1/3/2007)
RR
Maine(9/9/2008)
RR
Maryland(11/10/2010)
RR
Massachusetts(1/3/2007)
RR
Michigan(6/28/2024)
RR
New Hampshire(11/10/2010)
RR
New Jersey(6/6/2024)
RR
New York(1/3/2007)
RR
North Carolina(8/4/2021)
RR
Ohio(1/11/2021)
RR
Pennsylvania(11/10/2010)
RR
Texas(1/11/2024)
RR
Vermont(1/3/2007)
IAR
Vermont(12/15/2014)
RR
Washington(6/6/2024)
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.
