Steve W. Shim

EAGLE STRATEGIES LLC

BREA, CA 92821

Some features on this profile are disabled

CRD#: 5395815

Professional summary

Steve Woojoon Shim, who also goes by Steve Shim, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Brea, California and NYLIFE SECURITIES LLC located in Anaheim, California.

Steve is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Steve has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Shim

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; 50 Beale Street San Francisco, CA 94105; Commissions; 3 hours per month] [Rental Property; townhome being rented out; 12135 Foster Rd. #2 Norwalk, CA 90650; Rental Income; 1 hour per month] [OPERATING UNDER THE DBA NAME OF Coram Deo Insurance and Financial Services, Inc. FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; BREA CA; START DATE: 05/2023]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steve Woojoon Shim's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 6, 2019 - Present

EAGLE STRATEGIES LLC

Office #1: 675 Placentia Avenue Suite 250, Brea, CA 92821

RIA

CRD#: 110826

BREA, CA

Current

August 24, 2018 - Present

NYLIFE SECURITIES LLC

Office #1: 2400 E. Katella Ave Suite 800, Anaheim, CA 92806

CRD#: 5167

Anaheim, CA

Past

December 20, 2007 - August 13, 2018

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

LOS ANGELES, CA

Past

November 15, 2007 - August 13, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

LOS ANGELES, CA

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".

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.

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

Arizona
(1/2/2019)

California
(8/24/2018)

IAR

California
(8/6/2019)

Illinois
(9/16/2025)

New Jersey
(4/26/2021)

Washington
(3/16/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/19/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/14/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (11/11/2025)

EAGLE STRATEGIES DISCLOSURE BROCHURE (10/23/2025)

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	Cover Page	Report
04/25/2024	Cover Page	Report
12/20/2023	Cover Page	Report

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.

Similar Advisors

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

Gabriel Shahin

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steve W. Shim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steve Woojoon Shim's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/14/2007

FINRA

Current Firm

EAGLE STRATEGIES LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EAGLE STRATEGIES LLC

TRUST BUT VERIFY

Similar Advisors