Kenneth R. Richey
EAGLE STRATEGIES LLC
OGDEN, UT 84403-5097
Some features on this profile are disabled
CRD#: 5238293
Professional summary
Kenneth Ricks Richey, CFP®, ChFC®, CLU®, who also goes by Ken R Richey, Kenneth R Richey, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Ogden, Utah and NYLIFE SECURITIES LLC located in Ogden, Utah.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Kenneth has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken R Richey | Kenneth R Richey
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 CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 1186 E 4600 S, STE 300, OGDEN, UT 84403; AGENT/BROKER; START DATE: 3/26/12; 5 HRS PER MONTH; INVESTMENT RELATED] [Ogden City Council - District 3; I was elected to serve as the District 3 representative on the Ogden City Council. This is a 4 year term beginning January 2022.; 2549 Washington Blvd, Ogden, UT 84401; Start Date 01/2022; Role/Title: Member; Not Investment Related; 40 hours per month; 2 hours per month during securities trading hours; Attend Council Work Meetings and General Sessions on Tuesday evenings. Work within the council to establish council initiatives working alongside the Mayor. As a council member it is expected that I will serve on different committees related to Ogden City.]
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Ricks Richey'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®
CFP®
Start date: 2017
Experience
Current
July 6, 2022 - Present
EAGLE STRATEGIES LLC
Office #1: 710 40th Street, Ogden, UT 84403-5097RIA
CRD#: 110826
OGDEN, UT
Current
February 7, 2007 - Present
NYLIFE SECURITIES LLC
Office #1: 710 40th Street, Ogden, UT 84403-5097BD
CRD#: 5167
OGDEN, UT
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(4/28/2016)
RR
Georgia(4/28/2016)
RR
Idaho(3/28/2016)
RR
Michigan(1/3/2023)
RR
Nevada(3/16/2009)
RR
Utah(2/14/2007)
IAR
Utah(7/6/2022)
RR
Washington(4/10/2015)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 110826Ogden, UT 84403-5097TRUST BUT VERIFY
Monitor Kenneth Richey
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
