Frederick A. Rich

EAGLE STRATEGIES LLC

FRANKLIN, TN 37067

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CRD#: 4888268

Professional summary

Frederick Allen Rich JR, CFP®, ChFC®, CLU®, who also goes by Frederick Rich, Joe Allen Rich Jr, Frederick Allen Rich Jr, Frederick Allen Rich Jr. Jr, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Franklin, Tennessee and NYLIFE SECURITIES LLC located in Franklin, Tennessee.

Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Frederick 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

Frederick Rich | Joe Allen Rich Jr | Frederick Allen Rich Jr | Frederick Allen Rich Jr. Jr

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; TO SOLICIT AND SELL NON NYL INSURANCE PRODUCTS FOR BUT NOT LIMITED TO LIFE, HEALTH, MEDICAL, DISABILITY, GROUP INSURANCE, FIXED ANNUITIES AND LONG TERM CARE INSURANCES.] [OPERATING UNDER THE DBA NAME OF FALCON FINANCIAL AND INSURANCE SOLUTIONS, INC. FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; associate; FRESNO, CA 93720; ] [BNI - Networking Group; A group of us meet on a regular basis and help each other grow our business through networking; 8110 Isabella lane, Brentwood, TN 37027; Start Date 06/2023; Role/Title: Volunteer; Not Investment Related; 6 hours per month; 6 hours per month during securities trading hours; take attendance at the weekly meetings and I prepare the schedule for our members to do presentations]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Allen Rich JR'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®

CFP^®

Certified Financial Planner

Start date: 2018

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

October 15, 2013 - Present

EAGLE STRATEGIES LLC

Office #1: 3401 Mallory Lane Suite 400a, Franklin, TN 37067Office #2: 7311 Nolensville Road, Nolensville, TN 37135

RIA

CRD#: 110826

FRANKLIN, TN

Current

October 9, 2009 - Present

NYLIFE SECURITIES LLC

Office #1: 3401 Mallory Lane Suite 400, Franklin, TN 37067Office #2: 7311 Nolensville Road, Nolensville, TN 37135

CRD#: 5167

Franklin, TN

Past

June 13, 2007 - September 25, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

FRESNO, CA

Past

May 29, 2007 - September 25, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

FRESNO, CA

Past

June 28, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

FRESNO, CA

Past

August 18, 2005 - May 24, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

FRESNO, CA

Past

July 26, 2005 - May 24, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

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

Arkansas
(6/11/2021)

California
(10/9/2009)

Iowa
(8/9/2024)

Kentucky
(7/7/2021)

Montana
(7/20/2018)

New York
(1/29/2022)

North Carolina
(7/22/2020)

Tennessee
(4/19/2022)

IAR

Tennessee
(5/16/2022)

Texas
(3/18/2020)

IAR

Texas
(4/3/2020)

Washington
(6/4/2024)

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: 10/1/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/24/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/25/2005

General Securities Representative 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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Firm Stability Insights

Frederick A. Rich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Allen Rich JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/1/2013

SIE

Date: 10/1/2018

Series 31

Date: 8/24/2005

Series 7

Date: 7/25/2005

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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