NP
Nicole M. Pizzi
EAGLE STRATEGIES LLC
WAYNE, PA 19087
Some features on this profile are disabled
CRD#: 5770980
NP
Professional summary
Nicole Marie Pizzi is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Wayne, Pennsylvania and NYLIFE SECURITIES LLC located in Wayne, Pennsylvania.
Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Nicole has worked at 2 firms and has passed the Series 65, 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.
[Lionel 25 LLC; This LLC is my grandparents Pizza Shop that was passed down. The property was placed in an LLC for estate planning purposes and my father is the Manager and his 4 children are members of the LLC.; 1025 W Lancaster Avenue Bryn Mawr PA 19010; Start Date 11/2023; Role/Title: Member; Investment Related; 2 hours per month; 0 hours per month during securities trading hours; Assist in payment of property taxes, insurance premiums, licensing fees, maintenance/repairs and manager compensation.][APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 595 E Swedesford Rd Suite 300 Wayne, PA 19087; Start Date 08/2024; Role/Title: Insurance Broker; Investment Related; 1 hours per month; 0 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF Karalius & Associates Insurance and Financial Services, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; WAYNE PA; START DATE: 03/2025]
CRS (Client Relationship Summary) - RIA
Click below to view Nicole Marie Pizzi'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
March 6, 2025 - Present
EAGLE STRATEGIES LLC
Office #1: 595 E Swedesford Road Suite 360, Wayne, PA 19087RIA
CRD#: 110826
WAYNE, PA
Current
October 31, 2013 - Present
NYLIFE SECURITIES LLC
Office #1: 595 E. Swedesford Road Suite 300, Wayne, PA 19087BD
CRD#: 5167
Wayne, PA
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
California(4/21/2017)
RR
Colorado(10/2/2017)
RR
Connecticut(11/2/2020)
RR
Delaware(6/25/2014)
RR
District of Columbia(11/2/2020)
RR
Florida(4/2/2014)
RR
Georgia(11/2/2020)
RR
Maryland(9/4/2014)
RR
Massachusetts(11/2/2020)
RR
Michigan(11/2/2020)
RR
Nevada(4/2/2014)
RR
New Jersey(4/1/2014)
IAR
New Jersey(3/6/2025)
RR
New York(6/11/2014)
RR
North Carolina(9/2/2022)
RR
Ohio(9/2/2022)
RR
Oregon(4/28/2020)
RR
Pennsylvania(10/31/2013)
IAR
Pennsylvania(3/7/2025)
RR
Texas(9/2/2022)
RR
Virginia(4/30/2021)
RR
Wisconsin(3/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/31/2023
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
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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.
