JK
Jeffrey J. Kao
EAGLE STRATEGIES LLC
Honolulu, HI 96813
Some features on this profile are disabled
CRD#: 5215563
JK
Professional summary
Jeffrey James Kao is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Honolulu, Hawaii and NYLIFE SECURITIES LLC located in Honolulu, Hawaii.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Jeffrey has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 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.
[Sweet Creams, LLC; This is a mobile ice cream business that will sell ice cream at events.; 936 Upalu St. Pearl City, HI 96782; Start Date 02/2016; Role/Title: Partner; Not Investment Related; 10 hours per month; 0 hours per month during securities trading hours] [Junior Achievement of Hawaii; Educates financial literacy in youth at underserved public schools; 1888 Kalakaua Ave #C Honolulu, HI 96815; Start Date 03/2018; Role/Title: Board Member; Not Investment Related; 3 hours per month; 0 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF HIPAC FINANCIAL FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; HONOLULU, HI; START DATE: 11/2019] [APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 841 Bishop Street Suite 1900 Honolulu, HI 96813; Start Date 05/2021; Role/Title: Member; Investment Related; 4 hours per month; 4 hours per month during securities trading hours] [NAIFA Hawaii; NAIFA Hawaii's mission is to advocate for the and promote the financial services industry as a whole, while helping to educate and enhance the professional, educational, and ethical qualities of its membership; 516 Kawaihae St #E Honolulu, HI 96825; Start Date 07/2021; Role/Title: Board Member; Investment Related; 1 hours per month; 0 hours per month during securities trading hours;Help facilitate workshops for membership, fundraising activities, and to help grow the organization]
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey James Kao'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
July 26, 2021 - Present
EAGLE STRATEGIES LLC
Office #1: 733 Bishop Street Suite 2800, Honolulu, HI 96813RIA
CRD#: 110826
Honolulu, HI
Current
June 11, 2007 - Present
NYLIFE SECURITIES LLC
Office #1: 733 Bishop Street Suite 2200 & 2150, Honolulu, HI 96813BD
CRD#: 5167
HONOLULU, HI
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
Arizona(5/21/2021)
RR
Arkansas(2/17/2022)
RR
California(10/29/2009)
RR
Colorado(5/18/2022)
RR
Florida(3/13/2020)
RR
Georgia(1/5/2021)
RR
Hawaii(6/11/2007)
IAR
Hawaii(7/26/2021)
RR
Iowa(10/22/2020)
RR
Maryland(2/23/2023)
RR
Minnesota(6/12/2025)
RR
Missouri(3/24/2021)
RR
Nevada(9/14/2016)
RR
New York(3/19/2018)
RR
Ohio(2/24/2025)
RR
Oregon(8/2/2023)
RR
Texas(4/2/2019)
IAR
Texas(5/22/2024)
RR
Virginia(3/23/2020)
RR
Washington(9/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/27/2020
General Securities Representative ExaminationGeneral 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.
