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RG

Ramone D. Givens

EAGLE STRATEGIES
CHARLOTTE, NC 28277
Some features on this profile are disabled
CRD#: 5605050
RG

Professional summary

Ramone Donnell Givens, who also goes by Ramone D Given, Ramone D Givens, Ray Donnell Givens, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Charlotte, North Carolina and NYLIFE SECURITIES LLC located in Charlotte, North Carolina.

Ramone is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Ramone has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ramone D Given | Ramone D Givens | Ray Donnell Givens

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ramone Donnell Givens'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

May 7, 2025 - Present

EAGLE STRATEGIES LLC

Office #1: 14819 Ballantyne Village Way Suite 1100, Charlotte, NC 28277
RIA
CRD#: 110826
CHARLOTTE, NC
Current

April 22, 2025 - Present

NYLIFE SECURITIES LLC

Office #1: 14819 Ballantyne Village Way 11th Fl Suite 1100, Charlotte, NC 28277
BD
CRD#: 5167
CHARLOTTE, NC
Past

October 26, 2017 - April 3, 2025

MORGAN STANLEY

RIA
CRD#: 149777
Cornelius, NC
Past

October 26, 2017 - April 3, 2025

MORGAN STANLEY

BD
CRD#: 149777
Cornelius, NC
Past

May 16, 2014 - October 27, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHARLOTTE, NC
Past

March 20, 2014 - October 27, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC

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
North Carolina
(4/23/2025)
IAR
North Carolina
(5/7/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/9/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/14/2019
General Securities Sales Supervisor - Options Module Examination
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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (3/3/2026)
EAGLE STRATEGIES DISCLOSURE BROCHURE (3/3/2026)

Regulatory assets under management

Total Number of Accounts111,361
AUM (Assets Under Management)$ 25,395,380,570

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

EAGLE STRATEGIES LLC

CRD#: 110826Charlotte, NC 28277

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