TE
Tara C. Ellis
EAGLE STRATEGIES LLC
CONCORD, CA 94520
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CRD#: 5058128
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Professional summary
Tara Cole Ellis, who also goes by Tara Ryan Cole, Tara Cole Smith, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Concord, California and NYLIFE SECURITIES LLC located in Concord, California.
Tara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Tara has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tara Ryan Cole | Tara Cole Smith
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 INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 951 Mariners Island Blvd. STE 600 San Mateo CA 94404; Start Date 06/2022; Role/Title: Independent Contractor; Investment Related; 4 hours per month; 4 hours per month during securities trading hours] [Heatrx; Heatrx is a pest control bedbug remediation company that my husband owns that I sit on the board of advisors on and advise on expansion and business development.; 3001 Bishop Dr. STE 300 San Ramon CA; Start Date 04/2021; Role/Title: Board Member; Not Investment Related; 10 hours per month; 0 hours per month during securities trading hours] [HeatRx Los Angeles; My husbands company which I am currently a board member of, is now expanding into LA county with a new branch. It is the same EIN however I am taking an ownership role in this new branch location.; 3174 Cortina Dr Bay Point CA 94565; Start Date 12/2023; Role/Title: Partner; Not Investment Related; 20 hours per month; 10 hours per month during securities trading hours; Mostly assisting with sales training, instituting branch policies and procedures, operations training , and assisting hiring staff.]
CRS (Client Relationship Summary) - RIA
Click below to view Tara Cole Ellis'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
May 20, 2021 - Present
EAGLE STRATEGIES LLC
Office #1: 1320 Willow Pass Road Suite 600, Concord, CA 94520RIA
CRD#: 110826
CONCORD, CA
Current
January 22, 2021 - Present
NYLIFE SECURITIES LLC
Office #1: 1320 Willow Pass Road Suite 600, Concord, CA 94520BD
CRD#: 5167
Concord, CA
Past
March 13, 2018 - December 31, 2020
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
Oakland, CA
Past
March 13, 2018 - December 31, 2020
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
Oakland, CA
Past
October 29, 2012 - December 26, 2017
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
METAIRIE, LA
Past
June 11, 2012 - December 26, 2017
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
METAIRIE, LA
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
California(1/25/2021)
IAR
California(5/20/2021)
RR
Louisiana(4/14/2021)
RR
Michigan(2/13/2024)
RR
Nevada(10/11/2021)
RR
Texas(2/10/2024)
Exams
State Security Law 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#: 110826Concord, CA 94520TRUST BUT VERIFY
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