Alan R. Babbitt

EAGLE STRATEGIES LLC

EDISON, NJ 08837

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CRD#: 6014261

Professional summary

Alan Rory Babbitt, who also goes by Alan Rory Babbitt Sr, Alan Babbitt, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Edison, New Jersey and NYLIFE SECURITIES LLC located in Edison, New Jersey.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Alan has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan Rory Babbitt Sr | Alan Babbitt

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.

[Roth Services Group LLC; dormant technology consulting services business; 344 Dogwood Drive Union, New Jersey 07083; owner; no compensation; 0 hours] [Roth Consulting Group LLC; Dormant Management Consulting new business development; 344 Dogwood Drive Union, NJ 07083; no compensation; 0 hours per month]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Rory Babbitt'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

January 17, 2017 - Present

EAGLE STRATEGIES LLC

Office #1: 379 Thornall Street 8th Floor, Edison, NJ 08837

RIA

CRD#: 110826

EDISON, NJ

Current

November 14, 2016 - Present

NYLIFE SECURITIES LLC

Office #1: 379 Thornall Street Fl 8, Edison, NJ 08837

CRD#: 5167

EDISON, NJ

Past

November 20, 2012 - August 1, 2016

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

EAST BRUNSWICK, NJ

Past

January 23, 2012 - August 1, 2016

PRUCO SECURITIES, LLC.

CRD#: 5685

EAST BRUNSWICK, NJ

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".

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.

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

New Jersey
(11/14/2016)

IAR

New Jersey
(1/17/2017)

New York
(3/1/2017)

Pennsylvania
(1/19/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/5/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/12/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/21/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/20/2012

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/12/2020

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/28/2014

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA

Registered Investment Advisory firm - (10/14/1988 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (11/11/2025)

EAGLE STRATEGIES DISCLOSURE BROCHURE (10/23/2025)

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	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.

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Advisor Monitoring

Firm Stability Insights

Alan R. Babbitt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Rory Babbitt's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/5/2012

Series 65

Date: 11/12/2012

Series 7TO

Date: 12/21/2018

SIE

Date: 10/1/2018

Series 6

Date: 1/20/2012

Series 24

Date: 11/12/2020

Series 26

Date: 10/28/2014

FINRA

Current Firm

EAGLE STRATEGIES LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EAGLE STRATEGIES LLC

TRUST BUT VERIFY

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