SV
Sean V. Viola
EAGLE STRATEGIES LLC
NEW YORK, NY 10010
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CRD#: 5577689
SV
Professional summary
Sean Vincent Viola is a registered financial advisor currently at EAGLE STRATEGIES LLC located in New York, New York and NYLIFE SECURITIES LLC located in New York, New York.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Sean has worked at 2 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 11 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Vincent Viola'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
April 10, 2018 - Present
EAGLE STRATEGIES LLC
Office #1: 51 Madison Avenue, New York, NY 10010RIA
CRD#: 110826
NEW YORK, NY
Current
September 22, 2008 - Present
NYLIFE SECURITIES LLC
Office #1: 51 Madison Avenue, New York, NY 10010BD
CRD#: 5167
New York, NY
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
Alabama(2/16/2010)
RR
Alaska(2/16/2010)
RR
Arizona(2/16/2010)
RR
Arkansas(2/16/2010)
RR
California(2/16/2010)
RR
Colorado(2/16/2010)
RR
Connecticut(2/16/2010)
RR
Delaware(2/16/2010)
RR
District of Columbia(2/16/2010)
RR
Florida(2/16/2010)
RR
Georgia(2/16/2010)
RR
Hawaii(2/16/2010)
RR
Idaho(2/16/2010)
RR
Illinois(2/16/2010)
RR
Indiana(2/16/2010)
RR
Iowa(2/16/2010)
RR
Kansas(2/16/2010)
RR
Kentucky(2/16/2010)
RR
Louisiana(2/16/2010)
RR
Maine(2/16/2010)
RR
Maryland(2/16/2010)
RR
Massachusetts(2/16/2010)
RR
Michigan(2/16/2010)
RR
Minnesota(2/16/2010)
RR
Mississippi(2/16/2010)
RR
Missouri(2/16/2010)
RR
Montana(2/16/2010)
RR
Nebraska(2/16/2010)
RR
Nevada(2/16/2010)
RR
New Hampshire(2/16/2010)
RR
New Jersey(2/16/2010)
IAR
New Jersey(4/10/2018)
RR
New Mexico(2/16/2010)
RR
New York(11/20/2009)
IAR
New York(8/3/2021)
RR
North Carolina(2/16/2010)
RR
North Dakota(2/16/2010)
RR
Ohio(2/16/2010)
RR
Oklahoma(2/16/2010)
RR
Oregon(2/16/2010)
RR
Pennsylvania(2/16/2010)
RR
Rhode Island(2/16/2010)
RR
South Carolina(2/16/2010)
RR
South Dakota(2/16/2010)
RR
Tennessee(2/16/2010)
RR
Texas(2/16/2010)
RR
Utah(2/16/2010)
RR
Vermont(2/16/2010)
RR
Virginia(2/16/2010)
RR
Washington(2/16/2010)
RR
West Virginia(2/16/2010)
RR
Wisconsin(2/16/2010)
RR
Wyoming(2/16/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 11
Date: 9/19/2008
Assistant Representative-Order Processing Qualification ExamPrincipal/Supervisory 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.
