Johnathan M. Lo

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CRD#: 4838748

Professional summary

Johnathan M Lo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Johnathan is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Johnathan had worked at 9 firms, which includes EAGLE STRATEGIES LLC, NYLIFE SECURITIES LLC, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY, MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC., PRUCO SECURITIES LLC..

Question & Answer

Are you a "fiduciary"?

Aliases

Johnathan Mandel Lo | Johnathan Lo

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 3, 2014 - August 7, 2015

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

NEW YORK, NY

Past

November 26, 2013 - August 7, 2015

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

October 1, 2012 - May 31, 2013

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEW YORK, NY

Past

October 1, 2012 - May 31, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

March 2, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

March 2, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

November 24, 2009 - November 9, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BAYSIDE, NY

Past

November 24, 2009 - November 9, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BAYSIDE, NY

Past

June 1, 2009 - December 2, 2009

MORGAN STANLEY

RIA

CRD#: 149777

SCRANTON, PA

Past

June 1, 2009 - December 2, 2009

MORGAN STANLEY

CRD#: 149777

SCRANTON, PA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SCRANTON, PA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SCRANTON, PA

Past

May 22, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SCRANTON, PA

Past

March 28, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

SCRANTON, PA

Past

October 29, 2004 - January 6, 2006

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/4/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/7/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/18/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/6/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/22/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA

Registered Investment Advisory firm - (10/14/1988 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (11/11/2025)

EAGLE STRATEGIES DISCLOSURE BROCHURE (10/23/2025)

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	Cover Page	Report
04/25/2024	Cover Page	Report
12/20/2023	Cover Page	Report

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.

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Johnathan M. Lo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NYLIFE SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/2006

Series 63

Date: 11/19/2004

SIE

Date: 8/7/2015

Series 31

Date: 5/18/2006

Series 7

Date: 4/6/2006

Series 6

Date: 9/22/2004

Current Firm

EAGLE STRATEGIES LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EAGLE STRATEGIES LLC

TRUST BUT VERIFY

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