JM
James P. Moriarty
EAGLE STRATEGIES LLC
WOBURN, MA 01801
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CRD#: 4724565
JM
Professional summary
James Paul Moriarty is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Woburn, Massachusetts and NYLIFE SECURITIES LLC located in Woburn, Massachusetts.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. James has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 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.
[APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 1 Church Street, Suite 102, Wilmington, MA 01887; Start Date 02/2022; Role/Title: Insurance Broker; Investment Related; 5 hours per month; 0 hours per month during securities trading hours] [James P. Moriarty, CPA, LLC; Tax and Accounting Services; 1 Church Street, Suite 102, Wilmington, MA 01887; Start Date 01/2022; Role/Title: Owner; Not Investment Related; 120 hours per month; 120 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF FAIRWAY GROUP, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; (ASSOCIATE); (WOBURN, MA); START DATE: 03/2024]
CRS (Client Relationship Summary) - RIA
Click below to view James Paul Moriarty'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 2, 2011 - Present
EAGLE STRATEGIES LLC
Office #1: James P Moriarty Cpa Llc 400 Tradecenter Drive Suite 5900, Woburn, MA 01801RIA
CRD#: 110826
WOBURN, MA
Current
December 10, 2003 - Present
NYLIFE SECURITIES LLC
Office #1: Moriarty Financial Group Llc 400 Tradecenter Drive, Suite 5900, Woburn, MA 01801BD
CRD#: 5167
Woburn, MA
Past
February 17, 2015 - August 25, 2015
ALPHA PENSION GROUP, INC., A HUB INTERNATIONAL COMPANY
RIA
CRD#: 171290
LEXINGTON, MA
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(9/4/2024)
RR
California(12/3/2021)
RR
Florida(1/4/2023)
RR
Georgia(1/8/2024)
RR
Hawaii(2/19/2025)
RR
Maine(7/24/2024)
RR
Massachusetts(1/1/2004)
IAR
Massachusetts(5/2/2011)
RR
Nevada(12/21/2023)
RR
New Hampshire(2/23/2004)
RR
New Jersey(10/16/2025)
RR
New York(11/6/2023)
RR
Pennsylvania(3/21/2022)
RR
Rhode Island(11/20/2004)
RR
Texas(4/30/2024)
IAR
Texas(5/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
EAGLE STRATEGIES LLC
CRD#: 110826Woburn, MA 01801TRUST BUT VERIFY
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