PM
Patricia Moulton
EAGLE STRATEGIES LLC
Powell, WY 82435
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CRD#: 6552070
PM
Professional summary
Patricia Moulton, who also goes by Patricia Mains, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Powell, Wyoming and NYLIFE SECURITIES LLC located in Powell, Wyoming.
Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Patricia has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patricia Mains
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.
[APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 249 E 2nd St, STE1, Powell Wy 82435; Start Date 01/2019; Role/Title: Owner; Investment Related; 20 hours per month; 20 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF MAINS FINANCIAL WEALTH STRATEGIES FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; POWELL, WY; START DATE: 07/2024] [Lease of Pasture Grass; house sits on 5 acres, 4 of the acres are leased to a farmer for pasture; 276 Lane 7H, Powell Wy 82435; Start Date 07/2022; Role/Title: Owner; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours; passive owner] [Celebrities for a Cause; non profit board that helps the director with the event. The celebrities for a cause event is a once year 3-4 day event. the director is in charge of fundraising and getting celebrities as well as organizing the event; 1820 Rumsey Ave, Cody WY 82414; Start Date 11/2022; Role/Title: Board Member; Not Investment Related; 1 hours per month; 0 hours per month during securities trading hours; Help set up event and volunteer during the event, help brainstorm ideas] [OPERATING UNDER THE DBA NAME OF CAPITAL EDGE INSURANCE & FINANCIAL SERVICES, INC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; (ASSOCIATE); (POWELL, WY); START DATE: 04/2023][Sweet Tooth Bakery and Coffee House; My daughter has started an online bakery and since she is a minor I have to be on all accounts, so she can get paid.; 276 Lane 7H, Powell Wy 82435; Start Date 04/2023; Role/Title: Owner; Not Investment Related; 1 hours per month; 0 hours per month during securities trading hours][Powell Medical Foundation; help make decisions on which portion of the hospital to help fund, after for example, OR uses up their budget they can ask the foundation for funding.; 777 Ave H, Powell Wy 82435; Start Date 10/2017; Role/Title: Officer; Not Investment Related; 2 hours per month; 1 hours per month during securities trading hours; volunteer position]
CRS (Client Relationship Summary) - RIA
Click below to view Patricia Moulton'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 10, 2024 - Present
EAGLE STRATEGIES LLC
Office #1: 249 E 2nd Street Suite 1, Powell, WY 82435RIA
CRD#: 110826
Powell, WY
Current
March 30, 2016 - Present
NYLIFE SECURITIES LLC
Office #1: 249 E 2nd Street Ste 1, Powell, WY 82435BD
CRD#: 5167
Powell, WY
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
Alaska(1/10/2023)
RR
Arizona(7/21/2023)
RR
California(11/5/2021)
RR
Colorado(11/8/2021)
RR
Florida(2/24/2022)
RR
Georgia(1/23/2023)
RR
Idaho(8/14/2023)
RR
Illinois(6/15/2022)
RR
Kentucky(6/30/2021)
RR
Maryland(10/31/2020)
RR
Minnesota(1/30/2020)
RR
Montana(8/22/2016)
IAR
Montana(4/11/2024)
RR
Nebraska(1/10/2022)
RR
Nevada(9/9/2022)
RR
New York(6/24/2019)
RR
North Carolina(1/5/2024)
RR
North Dakota(4/21/2022)
RR
Ohio(1/21/2025)
RR
Oregon(8/12/2025)
RR
Pennsylvania(3/17/2021)
RR
South Carolina(3/27/2020)
RR
Texas(8/31/2016)
RR
Utah(9/4/2024)
RR
Virginia(10/14/2022)
RR
Washington(3/5/2025)
RR
Wyoming(8/22/2016)
IAR
Wyoming(4/10/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2024
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.
