MT
Michael R. Testa
EAGLE STRATEGIES LLC
SARATOGA SPRINGS, NY 12866
Some features on this profile are disabled
CRD#: 4837398
MT
Professional summary
Michael Rosario Testa is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Saratoga Springs, New York and NYLIFE SECURITIES LLC located in Saratoga Springs, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 5 firms and has passed the Series 66, SIE, Series 31 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; APPOINTED WITH OUTSIDE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 26 CENTURY HILL DRIVE SUITE 301 LATHAM NY 12110; COMMISSIONS; 30 HOURS PER MONTH; INVESTMENT RELATED] [RENTAL PROPERTY; SOLE PROPRIETORSHIP; 866 WARREN ALBANY NY 12208; 2 HOURS PER MONTH; INVESTMENT RELATED; START DATE 03/2015] [424-426 Hudson Ave LLC; Rental property; 110 Henry St. Saratoga springs ny 12866; Start Date 08/2017; Role/Title: Owner; Investment Related; 1 hours per month; 0 hours per month during securities trading hours;property at 37-39 Parkwood St Albany NY 12208 collect rent] [Upstate Rental Group LLC; Multifamily Rental Business. Invests in Apartments to provide future cash flow. 12 W. Erie St. Albany Ny 12208; 7 highland Ct Albany Ny 12203; Start Date 08/2016; Role/Title: Officer; Investment Related; 8 hours per month; 0 hours per month during securities trading hours] [169 Myrtle LLC; Holding Corp of investment apartments; 7 Highland Ct Albany NY 12203; Start Date 01/2020; Role/Title: Owner; Investment Related; 2 hours per month; 0 hours per month during securities trading hours; Oversee operations] [OPERATING UNDER THE DBA NAME OF Tailored Wealth Solutions LLC dba Tailored Wealth Solutions FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; Owner; SARATOGA SPRINGS, NY; START DATE: 04/2021] [SMK Vegas Duneville LLC; Passive Real estate. An investment in a passive real estate investment; 61141 s hwy 97 #605, bend, OR 97702; Start Date 09/2021; Role/Title: Passive investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [10-12 Pine Street LLC; 10 unit apartment; 10-12 Pine Street Latham, NY 12110; Start Date 02/2022; Role/Title: Owner; Investment Related; 0 hours per month; 0 hours per month during securities trading hours; collect rent]
CRS (Client Relationship Summary) - RIA
Click below to view Michael Rosario Testa'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
April 1, 2015 - Present
EAGLE STRATEGIES LLC
Office #1: 110 Henry Street, Saratoga Springs, NY 12866RIA
CRD#: 110826
SARATOGA SPRINGS, NY
Current
March 19, 2015 - Present
NYLIFE SECURITIES LLC
Office #1: 110 Henry Street, Saratoga Springs, NY 12866BD
CRD#: 5167
Saratoga Springs, NY
Past
October 23, 2009 - March 3, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LATHAM, NY
Past
October 23, 2009 - March 3, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LATHAM, NY
Past
August 11, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
LATHAM, NY
Past
August 11, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
LATHAM, NY
Past
March 13, 2006 - June 7, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ALBANY, NY
Past
October 7, 2004 - June 7, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ALBANY, NY
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
Alabama(10/16/2020)
RR
Arizona(10/22/2020)
RR
California(10/19/2020)
RR
Connecticut(10/16/2020)
RR
Delaware(12/10/2021)
RR
Florida(12/17/2018)
RR
Georgia(11/12/2020)
RR
Indiana(9/7/2023)
RR
Maine(10/19/2020)
RR
Maryland(6/6/2024)
RR
Massachusetts(9/27/2021)
RR
New Hampshire(10/19/2020)
RR
New Jersey(3/25/2015)
RR
New Mexico(10/15/2024)
RR
New York(3/19/2015)
IAR
New York(8/3/2021)
RR
North Carolina(10/20/2020)
RR
Ohio(1/7/2022)
RR
Pennsylvania(10/19/2020)
RR
South Carolina(11/5/2020)
RR
Tennessee(10/19/2020)
RR
Texas(3/4/2024)
IAR
Texas(3/13/2024)
RR
Vermont(3/27/2024)
RR
Virginia(10/22/2020)
Exams
State Security Law Exam
General 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
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#: 110826Saratoga Springs, NY 12866TRUST BUT VERIFY
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