Spencer K. Richards

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CRD#: 6165969

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Spencer Kenneth Norman Richards, who also goes by Spencer Kenneth Norman Richards, Spencer Richards, was a registered financial professional .

Spencer is a previously registered financial professional and started their career in finance in 2013. Spencer had worked at 7 firms and has passed the Series 66, Series 7TO, SIE and Series 6 exams.

Aliases

Spencer Kenneth Norman Richards | Spencer Richards

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 20, 2026 - July 13, 2026

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

VIENNA, VA

Past

March 6, 2026 - July 13, 2026

NYLIFE SECURITIES LLC

CRD#: 5167

VIENNA, VA

Past

May 1, 2024 - December 18, 2024

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

October 17, 2022 - May 2, 2024

OSAIC FA, INC.

RIA

CRD#: 3978

KENSINGTON, MD

Past

October 17, 2022 - May 1, 2024

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

August 14, 2019 - October 27, 2022

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

VIENNA, VA

Past

August 14, 2019 - October 27, 2022

PRUCO SECURITIES, LLC.

CRD#: 5685

VIENNA, VA

Past

May 3, 2019 - August 12, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

COLUMBIA, MD

Past

January 1, 2019 - August 12, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

COLUMBIA, MD

Past

April 9, 2013 - January 2, 2015

M&T SECURITIES, INC.

CRD#: 17358

WASHINGTON, DC

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/30/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/31/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/2/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/8/2013

Investment Company Products/Variable Contracts Representative Examination

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 (3/3/2026)

EAGLE STRATEGIES DISCLOSURE BROCHURE (3/3/2026)

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

Spencer K. Richards

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NYLIFE SECURITIES LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

OSAIC FA, INC.

OSAIC FA, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

M&T SECURITIES, INC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/30/2019

Series 7TO

Date: 12/31/2018

SIE

Date: 1/2/2015

Series 6

Date: 4/8/2013

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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