DB
Derek T. Berg
EAGLE STRATEGIES LLC
SIOUX FALLS, SD 57108-2210
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CRD#: 4656319
DB
Professional summary
Derek Timothy Berg is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Sioux Falls, South Dakota and NYLIFE SECURITIES LLC located in Sioux Falls, South Dakota.
Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Derek has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 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.
[Sioux Falls Youth Hockey Association; SFYHA - Director of Development. Sioux Falls Youth Hockey Association is the local hockey association. There are about 600 youth involved in SFYHA.; PO Box 89214, Sioux Falls, SD 57109; Start Date 04/2021; Role/Title: Board Member; Not Investment Related; 5 hours per month; 0 hours per month during securities trading hours; The Director of Development will be responsible for nurturing relationships with corporate sponsors and major contributors to SFYHA. Attend monthly meetings to discuss the direction of the association and what can be done to continue growth.] [Team South Dakota; Hockey Coach - Team SD. Coach youth hockey for Team South Dakota Girls 12U; 4300 N Bobhalla Dr., Sioux Falls, SD 57107; Start Date 06/2022; Role/Title: Volunteer; Not Investment Related; 8 hours per month; 0 hours per month during securities trading hours] [Rental Property; Purchase of rental house to be rented out on long term contracts.; 2609 S. Norton Ave. Sioux Falls, SD 57105; Start Date 08/2024; Role/Title: Owner; Investment Related; 1 hours per month; 0 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Derek Timothy Berg'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
February 26, 2011 - Present
EAGLE STRATEGIES LLC
Office #1: 5101 S Nevada Ave Suite 200, Sioux Falls, SD 57108-2210RIA
CRD#: 110826
SIOUX FALLS, SD
Current
March 27, 2007 - Present
NYLIFE SECURITIES LLC
Office #1: 6101 E. Silver Maple Circle, Sioux Falls, SD 57110BD
CRD#: 5167
SIOUX FALLS, SD
Past
February 3, 2006 - March 23, 2007
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
HUMBOLDT, SD
Past
August 18, 2004 - January 9, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
SIOUX FALLS, SD
Past
May 12, 2003 - January 9, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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
South Dakota(2/11/2011)
IAR
South Dakota(2/26/2011)
Exams
State Security Law 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.
