Henry L. Frazier
Professional summary
Henry Lee Frazier III, who also goes by Henry Lee Frazier, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in San Jose, California and NYLIFE SECURITIES LLC located in San Jose, California.
Henry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Henry has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Henry Lee Frazier III's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 26, 2022 - Present
EAGLE STRATEGIES LLC
Office #2: 2219 Gehringer Drive, Concord, CA 94520September 24, 2015 - Present
NYLIFE SECURITIES LLC
Office #1: 25 Metro Drive Suite 300, San Jose, CA 95110Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/2/2015)
(1/26/2022)
(1/2/2025)
(6/11/2024)
(10/26/2023)
(6/5/2025)
(2/27/2019)
(5/17/2023)
(6/2/2025)
(9/27/2023)
(8/6/2024)
(10/31/2018)
(3/30/2018)
(12/8/2025)
(5/20/2022)
Exams
Series 7TO
Date: 12/2/2020
General Securities Representative ExaminationFINRA
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
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.
