KK
Kathleen M. Knight
EAGLE STRATEGIES LLC
LAKE FOREST, CA 92630
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CRD#: 4734040
KK
Professional summary
Kathleen Marie Knight, who also goes by Kathleen Marie Barbrack, Kathleen Marie Connelly, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Lake Forest, California and NYLIFE SECURITIES LLC located in Lake Forest, California.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kathleen has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen Marie Barbrack | Kathleen Marie Connelly
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; 8192 Sandcove Cir, Unit 206, Huntington Beach, CA 92646; Start Date: 06/2016; Role/Title: Insurance Broker; Investment related; 10 hours per month; 10 hours per month during securities trading hours] [Rental Property; Investment property that I will rent out in Reno, NV; 900 South Meadows Pkwy #5224 Reno, NV 89521; Start Date 12/2023; Role/Title: Owner; Not Investment Related; 3 hours per month; 0 hours per month during securities trading hours][Huntington Beach Chamber of Commerce; Chamber of Commerce. Works with businesses in the city to provide information and support; 15744 Goldenwest Huntington Beach CA 92647; Start Date 08/2025; Role/Title: Board Member; Not Investment Related; 4 hours per month; 0 hours per month during securities trading hours; secretary-take meeting minutes]
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Marie Knight'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
August 15, 2016 - Present
EAGLE STRATEGIES LLC
Office #1: 26501 Rancho Parkway South Suite 102, Lake Forest, CA 92630RIA
CRD#: 110826
LAKE FOREST, CA
Current
August 5, 2016 - Present
NYLIFE SECURITIES LLC
Office #1: 26501 Rancho Pkwy South Suite 102, Lake Forest, CA 92630BD
CRD#: 5167
Lake Forest, CA
Past
October 1, 2012 - July 26, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
HUNTINGTON BEACH, CA
Past
October 1, 2012 - July 26, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HUNTINGTON BEACH, CA
Past
June 14, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
HUNTINGTON BEACH, CA
Past
June 14, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HUNTINGTON BEACH, CA
Past
April 8, 2004 - June 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CONCORD, CA
Past
March 12, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 12, 2004 - June 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CONCORD, CA
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(8/13/2019)
RR
Arkansas(7/24/2023)
RR
California(8/5/2016)
IAR
California(8/15/2016)
RR
Colorado(10/4/2022)
RR
Connecticut(6/26/2025)
RR
Florida(7/20/2021)
RR
Idaho(7/23/2021)
RR
Mississippi(6/22/2021)
RR
Nevada(10/12/2021)
RR
New Jersey(2/24/2021)
RR
New York(8/11/2020)
RR
Ohio(9/3/2020)
RR
South Carolina(6/10/2021)
RR
Tennessee(6/17/2019)
RR
Texas(8/20/2021)
IAR
Texas(9/22/2021)
RR
Utah(5/13/2021)
RR
Virginia(2/24/2021)
RR
Washington(8/10/2020)
Exams
State Security Law 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
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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.
