JS
Jonathan G. Serafin
EAGLE STRATEGIES LLC
HERNDON, VA 20170
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CRD#: 5627262
JS
Professional summary
Jonathan G Serafin, AIF®, who also goes by Jonathan George Serafin, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Herndon, Virginia and NYLIFE SECURITIES LLC located in Herndon, Virginia.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Jonathan has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jonathan George Serafin
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.
[OPERATING UNDER THE DBA NAME OF ELDENSTREET FINANCIAL, LLC D.B.A. ELDENSTREET FINANCIAL FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; HERNDON, VA; START DATE: 06/2018] [Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered insurance products; 625 Elden St Suite 203 Herndon VA 20170; Start Date 03/2015; Role/Title: Insurance Broker; Investment Related; 1 hours per month; 1 hours per month during securities trading hours; Insurance Agent]
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan G Serafin'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®
Experience
Current
June 22, 2012 - Present
EAGLE STRATEGIES LLC
Office #1: 625 Elden Street Suite 203, Herndon, VA 20170RIA
CRD#: 110826
HERNDON, VA
Current
July 10, 2009 - Present
NYLIFE SECURITIES LLC
Office #1: 625 Elden Street Suite 203, Herndon, VA 20170BD
CRD#: 5167
Herndon, VA
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(10/4/2016)
RR
Colorado(9/14/2016)
RR
District of Columbia(3/30/2010)
RR
Florida(6/26/2020)
RR
Georgia(8/18/2020)
RR
Illinois(9/6/2023)
RR
Maryland(1/25/2010)
RR
New Jersey(9/29/2022)
RR
North Carolina(3/12/2018)
RR
Oklahoma(5/2/2025)
RR
Pennsylvania(5/12/2022)
RR
South Carolina(9/9/2020)
RR
Texas(8/4/2021)
IAR
Texas(8/10/2021)
RR
Virginia(7/31/2009)
IAR
Virginia(6/22/2012)
RR
Washington(7/30/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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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.
Company Information
EAGLE STRATEGIES LLC
CRD#: 110826Herndon, VA 20170TRUST BUT VERIFY
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