CW
Chad M. Worozaken
EAGLE STRATEGIES LLC
GLENDALE, CA 91203
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CRD#: 5078108
CW
Professional summary
Chad Michael Worozaken is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Glendale, California and NYLIFE SECURITIES LLC located in Glendale, California.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Chad has worked at 4 firms and has passed the Series 66, SIE and Series 7 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.
[INSURANCE BROKERING; APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 801 N BRAND BLVD, PENTHOUSE SUITE, GLENDALE CA 91203; Start Date 11/2019; Role/Title: Partner; Investment Related; 10 hours per month; 10 hours per month during securities trading hours] [SALL Baseball Coach; Assisting in the development and growth of young baseball players.; 601 N 2nd Avenue, Arcadia CA 91006; Start Date 01/2024; Role/Title: Volunteer; Not Investment Related; 20 hours per month; 0 hours per month during securities trading hours] [Santa Anita Little League Board ; Board Member. I am a Safety Officer for the Santa Anita Little League based in Arcadia, CA.; 601 N 2nd Avenue, Arcadia CA 91006; Start Date 01/2024; Role/Title: Board Member; Not Investment Related; 10 hours per month; 0 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF BLUE CEDAR FINANCIAL AND INSURANCE SOLUTIONS FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; (ASSOCIATE); (GLENDALE, CA); START DATE: 08/2023] [AYSO G8U Soccer; Fall 2024. Youth development and growth in the game of soccer.; PO Box 1144 Monrovia, California 91017; Start Date 08/2024; Role/Title: Volunteer; Not Investment Related; 10 hours per month; 0 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Chad Michael Worozaken'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
March 17, 2017 - Present
EAGLE STRATEGIES LLC
Office #1: 801 N Brand Blvd #1400, Glendale, CA 91203Office #3: 55 South Lake Ave Suite 200, Pasadena, CA 91101RIA
CRD#: 110826
GLENDALE, CA
Current
February 15, 2017 - Present
NYLIFE SECURITIES LLC
Office #1: 801 North Brand Blvd 14th Floor, Glendale, CA 91203BD
CRD#: 5167
Glendale, CA
Past
January 3, 2011 - January 12, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WEST COVINA, CA
Past
January 3, 2011 - January 12, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WEST COVINA, CA
Past
April 20, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
PASADENA, CA
Past
March 9, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
PASADENA, CA
Past
September 9, 2009 - March 10, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DEERFIELD, IL
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(2/15/2017)
IAR
California(3/17/2017)
RR
Georgia(3/3/2022)
RR
Illinois(11/30/2022)
RR
Texas(12/14/2021)
IAR
Texas(5/5/2022)
RR
Washington(2/23/2024)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
