EC
Erin Caines
EAGLE STRATEGIES LLC
DERWOOD, MD 20855
CRD#: 5247251
EC
Professional summary
Erin Caines, who also goes by Erin Ann Caines, Erin Ann Fernandes, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Derwood, Maryland and NYLIFE SECURITIES LLC located in Bethesda, Maryland.
Erin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Erin has worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erin Ann Caines | Erin Ann Fernandes
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 products. Ash Brokerage; 888 S. Harrison St., Suite 900 Fort Wayne, IN 46802; Start Date 02/2024; Role/Title: Insurance Broker; Investment Related; 4 hours per month; 4 hours per month during securities trading hours] [Savaje Rum LLC; Rum production to sell retail.; 3702 W Spruce St #1602, Tampa, FL, 33607; Start Date 08/2025; Role/Title: Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours; Passive investor in pre crowdfunding sourcing.]
CRS (Client Relationship Summary) - RIA
Click below to view Erin Caines'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 26, 2023 - Present
EAGLE STRATEGIES LLC
Office #1: 7709 Rydal Terrace, Derwood, MD 20855Office #2: 6905 Rockledge Drive Suite 900, Bethesda, MD 20817RIA
CRD#: 110826
DERWOOD, MD
Current
March 4, 2022 - Present
NYLIFE SECURITIES LLC
Office #1: 6905 Rockledge Drive Suite 900, Bethesda, MD 20817BD
CRD#: 5167
Bethesda, MD
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
Colorado(4/25/2025)
RR
Delaware(12/5/2024)
RR
District of Columbia(4/14/2023)
RR
Florida(5/20/2022)
RR
Indiana(4/25/2024)
RR
Maryland(3/10/2022)
IAR
Maryland(5/26/2023)
RR
Montana(1/31/2024)
RR
New Jersey(5/29/2025)
RR
New York(10/3/2025)
RR
North Carolina(2/21/2024)
RR
Ohio(4/26/2024)
RR
South Carolina(1/29/2025)
RR
Virginia(9/9/2022)
RR
Washington(1/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/4/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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#: 110826Derwood, MD 20855TRUST BUT VERIFY
Monitor Erin Caines
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
