AW
Adam L. Wheeler
EAGLE STRATEGIES LLC
FORT SMITH, AR 72903
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CRD#: 5640428
AW
Professional summary
Adam Lee Wheeler is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Fort Smith, Arkansas and NYLIFE SECURITIES LLC located in Fayetteville, Arkansas.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Adam has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 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.
[WHEATLEY FAMILY LIMITED LIABILITY PARTNERSHIP; PASSIVE OWNER; INVESTMENT RELATED; START DATE 12/2009] [OPERATING UNDER THE DBA NAME OF TSG FINANCIAL, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; FAYETTEVILLE, AR; START DATE: 09/2013] [Grand Avenue Baptist Church; Church; 3900 Grand Avenue Fort Smith, AR 72904; Start Date 05/2023; Role/Title: Board Member; Not Investment Related; 1.5 hours per month; 0 hours per month during securities trading hours; Voting on and approving budget items and other recommendations for the improvement and overall health of the church] [OPERATING UNDER THE DBA NAME OF Parity Financial Group, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; FT. SMITH AR; START DATE: 10/2023]
CRS (Client Relationship Summary) - RIA
Click below to view Adam Lee Wheeler'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
November 11, 2020 - Present
EAGLE STRATEGIES LLC
Office #1: 2120 S Waldron Rd Suite 4a, Fort Smith, AR 72903Office #2: 4285 N Shiloh Drive Suite 301m, Fayetteville, AR 72703RIA
CRD#: 110826
FORT SMITH, AR
Current
October 9, 2009 - Present
NYLIFE SECURITIES LLC
Office #1: 4285 N Shiloh Drive Suite 301m, Fayetteville, AR 72703Office #2: 2120 S. Waldron Road Suite 4a, Ft. Smith, AR 72903BD
CRD#: 5167
FAYETTEVILLE, AR
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
Arkansas(11/24/2009)
IAR
Arkansas(11/11/2020)
RR
Colorado(11/3/2015)
RR
Missouri(10/29/2018)
RR
Nebraska(5/28/2024)
RR
North Carolina(3/16/2016)
RR
Oklahoma(9/3/2014)
RR
Texas(5/9/2023)
IAR
Texas(5/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/11/2020
General Securities Representative ExaminationGeneral 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#: 110826Fort Smith, AR 72903TRUST BUT VERIFY
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