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JL

Johnathan M. Lo

Some features on this profile are disabled
CRD#: 4838748
JL

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"?
No

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

BD
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

BD
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.

BD
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

BD
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

BD
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

BD
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.

BD
CRD#: 7556
SCRANTON, PA
Past

October 29, 2004 - January 6, 2006

PRUCO SECURITIES, LLC.

BD
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".
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/4/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/19/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/7/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/18/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/6/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/22/2004
Investment Company Products/Variable Contracts Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (3/3/2026)
EAGLE STRATEGIES DISCLOSURE BROCHURE (3/3/2026)

Regulatory assets under management

Total Number of Accounts111,361
AUM (Assets Under Management)$ 25,395,380,570

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

EAGLE STRATEGIES LLC

CRD#: 110826

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