Angelo Rufino

EAGLE STRATEGIES LLC

FRANKLIN, TN 37067

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CRD#: 4882959

Professional summary

Angelo Rufino is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Franklin, Tennessee and NYLIFE SECURITIES LLC located in Franklin, Tennessee.

Angelo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Angelo has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 24, Series 23, Series 53, Series 4, Series 10 and Series 9 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Angelo Rufino's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 20, 2024 - Present

EAGLE STRATEGIES LLC

Office #1: 3401 Mallory Lane Suite 400a, Franklin, TN 37067

RIA

CRD#: 110826

FRANKLIN, TN

Current

June 12, 2024 - Present

NYLIFE SECURITIES LLC

Office #1: 3401 Mallory Lane Suite 400, Franklin, TN 37067

CRD#: 5167

Franklin, TN

Past

November 13, 2023 - May 4, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Hendersonville, TN

Past

November 10, 2023 - May 4, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

July 15, 2019 - November 3, 2023

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

GALLATIN, TN

Past

July 15, 2019 - November 3, 2023

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

GALLATIN, TN

Past

September 12, 2016 - October 18, 2018

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

San Francisco, CA

Past

September 12, 2016 - October 18, 2018

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

SAN FRANCISCO, CA

Past

July 30, 2013 - April 11, 2016

MORGAN STANLEY

RIA

CRD#: 149777

WASHINGTON, DC

Past

July 30, 2013 - April 11, 2016

MORGAN STANLEY

CRD#: 149777

WASHINGTON, DC

Past

May 15, 2012 - July 29, 2013

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

May 15, 2012 - July 29, 2013

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN FRANCISCO, CA

Past

June 29, 2011 - April 10, 2012

MORGAN STANLEY

RIA

CRD#: 149777

SAN FRANCISCO, CA

Past

June 3, 2011 - April 10, 2012

MORGAN STANLEY

CRD#: 149777

SAN FRANCISCO, CA

Past

June 13, 2005 - April 19, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, 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".

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.

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

Tennessee
(6/12/2024)

IAR

Tennessee
(6/20/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/28/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/22/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/30/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/2/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 23

Date: 9/6/2019

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 53

Date: 6/14/2018

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 10/27/2016

Registered Options Principal Examination

Principal/Supervisory Exam

Series 10

Date: 8/8/2012

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/7/2012

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

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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Advisor Monitoring

Firm Stability Insights

Angelo Rufino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Angelo Rufino's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

MORGAN STANLEY

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/28/2011

Series 63

Date: 6/22/2005

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 9/30/2013

Series 7

Date: 6/2/2011

Series 24

Date: 1/2/2023

Series 23

Date: 9/6/2019

Series 53

Date: 6/14/2018

Series 4

Date: 10/27/2016

Series 10

Date: 8/8/2012

Series 9

Date: 8/7/2012

FINRA

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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