Chien K. Yeh
EAGLE STRATEGIES LLC
ROSEVILLE, CA 95661
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CRD#: 4777090
Professional summary
Chien Kain Yeh, CFP® is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Roseville, California and NYLIFE SECURITIES LLC located in Roseville, California.
Chien is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Chien has worked at 4 firms and has passed the Series 66, SIE and Series 7 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; SELL INSURANCE & FINANCIAL SERVICES; 2999 DOUGLAS BLVD SUITE 350; START DATE 02/2014; ROLE/TITLE: PARTNER; INVESTMENT RELATED; 40 HOURS PER MONTH; 40 HOURS PER MONTH DURING SECURITIES TRADING HOURS] [OPERATING UNDER THE DBA NAME OF CADUCEUS FINANCIAL & INSURANCE SERVICES FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; ADDRESS: ROSEVILLE, CA; START DATE: 04/2014]
CRS (Client Relationship Summary) - RIA
Click below to view Chien Kain Yeh'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®
CFP®
Start date: 2023
Experience
Current
August 23, 2011 - Present
EAGLE STRATEGIES LLC
Office #1: 2999 Douglas Blvd Suite 300, Roseville, CA 95661RIA
CRD#: 110826
ROSEVILLE, CA
Current
July 20, 2011 - Present
NYLIFE SECURITIES LLC
Office #1: 2999 Douglas Blvd Suite 350, Roseville, CA 95661BD
CRD#: 5167
ROSEVILLE, CA
Past
January 3, 2011 - March 8, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SACRAMENTO, CA
Past
January 3, 2011 - March 8, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SACRAMENTO, CA
Past
August 30, 2004 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SACRAMENTO, CA
Past
August 9, 2004 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SACRAMENTO, 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(1/12/2024)
RR
California(7/20/2011)
IAR
California(8/23/2011)
RR
Colorado(7/10/2019)
RR
Florida(9/1/2023)
RR
Hawaii(3/10/2025)
RR
Maryland(8/22/2023)
RR
Massachusetts(3/17/2025)
RR
Michigan(1/6/2022)
RR
Minnesota(3/30/2022)
RR
Nevada(1/11/2024)
RR
New Hampshire(4/30/2021)
RR
New Jersey(10/29/2021)
RR
New York(5/9/2023)
RR
North Carolina(8/20/2021)
RR
Oregon(2/13/2020)
RR
South Carolina(3/4/2025)
RR
Texas(7/2/2020)
IAR
Texas(7/17/2020)
RR
Utah(6/3/2022)
RR
Virginia(1/11/2022)
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
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#: 110826Roseville, CA 95661TRUST BUT VERIFY
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