MN
Michael Nichols
EAGLE STRATEGIES LLC
WALTHAM, MA 02451
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CRD#: 4699651
MN
Professional summary
Michael Nichols, who also goes by Michael Alan Nichols, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Waltham, Massachusetts and NYLIFE SECURITIES LLC located in Waltham, Massachusetts.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 5 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Alan Nichols
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.
[APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 201 Jones Rd 5th Floor Waltham, MA 02451; Start Date 11/2018; Role/Title: Insurance Broker; Investment Related; 8 hours per month; 8 hours per month during securities trading hours] [Family Promise Metrowest; Nonprofit that transforms the lives of families with children who are homeless by mobilizing a diverse community to provide shelter, education and comprehensive support.; 6 Mulligan St Natick MA 01760; Start Date 11/2018; Role/Title: Volunteer; Not Investment Related; 8 hours per month; 0 hours per month during securities trading hours; I will be volunteering during fundraising events] [BNI Ultimate Success; Networking Group; 1212 Hancock St. Suite 200 Quincy MA 02169; Start Date 10/2023; Role/Title: Treasurer; Not Investment Related; 6 hours per month; 0 hours per month during securities trading hours; recordkeeping-record receipts, track expenses/donations, maintain records of member renewal and monthly room dues payments, and manager weekly speaker rotation]
CRS (Client Relationship Summary) - RIA
Click below to view Michael Nichols'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 5, 2021 - Present
EAGLE STRATEGIES LLC
Office #1: 201 Jones Rd 5th Floor, Waltham, MA 02451RIA
CRD#: 110826
WALTHAM, MA
Current
July 9, 2015 - Present
NYLIFE SECURITIES LLC
Office #1: 201 Jones Road 5th Floor, Waltham, MA 02451BD
CRD#: 5167
Waltham, MA
Past
April 14, 2004 - July 29, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
December 3, 2003 - January 14, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CRANSTON, RI
Past
November 14, 2003 - January 14, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 14, 2003 - January 14, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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
Colorado(9/21/2017)
RR
Connecticut(1/29/2020)
RR
Massachusetts(8/21/2015)
IAR
Massachusetts(5/5/2021)
RR
New Jersey(10/21/2025)
RR
North Carolina(9/12/2025)
RR
Rhode Island(11/17/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/10/2021
General Securities Representative ExaminationGeneral 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#: 110826Waltham, MA 02451TRUST BUT VERIFY
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