KG
Kelly Goldstein
EAGLE STRATEGIES LLC
SARASOTA, FL 34237
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CRD#: 6364253
KG
Professional summary
Kelly Goldstein, who also goes by Kelly Christine Goldstein, Kelly Christine Griffin, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Sarasota, Florida and NYLIFE SECURITIES LLC located in Sarasota, Florida.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Kelly has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kelly Christine Goldstein | Kelly Christine Griffin
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.
[FULL SPECTRUM FINANCIAL GROUP;306 N. RHODES AVENUE SUITE 110;SARASOTA, FL 34237 DBA UNDER NEW YORK LIFE AGENT, STEPHEN GRIFFIN] [Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered insurance products; 306 N Rhodes Ave Suite 110 Sarasota FL 34237; Start Date 03/2021; Role/Title: Insurance Broker; Investment Related; 3 hours per month; 3 hours per month during securities trading hours; Insurance Broker/Sales] [Cryptocurrency Investment; Personal investment; 306 N Rhodes Ave Suite 110 Sarasota FL 34237; Start Date 05/2020; Role/Title: Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours; This is just a personal account I invest a small amount in and wanted to make NYL aware.] [Zulu Pods, Inc.; Zulu Pods is an aerospace company committed to providing high quality, innovative lubrication delivery solutions that radically simplify short-duration engine architecture to reduce weight, cost, and complexity while improving performance. ; 333 Las Olas Way, CU 4, Suite 442 Fort Lauderdale, FL 33301; Start Date 07/2023; Role/Title: Investor; Not Investment Related; 0.25 hours per month; 0 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Goldstein'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
April 29, 2021 - Present
EAGLE STRATEGIES LLC
Office #1: 306 N Rhodes Avenue Suite 110, Sarasota, FL 34237RIA
CRD#: 110826
SARASOTA, FL
Current
November 25, 2017 - Present
NYLIFE SECURITIES LLC
Office #1: 306 N Rhodes Avenue Suite 110, Sarasota, FL 34237BD
CRD#: 5167
Sarasota, FL
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
Arizona(9/9/2021)
RR
Florida(11/29/2017)
IAR
Florida(4/29/2021)
RR
Massachusetts(3/7/2024)
RR
New Jersey(1/26/2024)
RR
New York(5/5/2021)
RR
North Carolina(11/3/2022)
RR
Ohio(3/8/2024)
RR
Pennsylvania(4/5/2023)
RR
Tennessee(5/9/2025)
RR
Virginia(5/5/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/26/2020
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.
