YL
Yuen Han Lee
EAGLE STRATEGIES LLC
FREMONT, CA 94538
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CRD#: 6557006
YL
Professional summary
Yuen Han Lee, who also goes by Almaz Lee, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Fremont, California and NYLIFE SECURITIES LLC located in Fremont, California.
Yuen Han is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Yuen Han 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
Almaz Lee
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.
[Aceso Healthcare Products, Inc.; The business is distributing Blood Pressure Monitors, which is a family business. The products are manufactured by own partner.; 44364 South Grimmer Blvd. Fremont CA 94538; Start Date 07/2016; Role/Title: Secretary; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [Rental Property; Second House in Davis California. As my daughter is studying in UC Davis, we bought a house for her. So, she lives there and rent out some rooms to her college friends.; 2020 Imperial Avenue, Davis, CA 95616; Start Date 09/2020; Role/Title: Owner; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours; collect rent] [NYLARC Holding Company Inc.; NYLARC's primary business is to reinsure a portion of the risks under certain life insurance policies issued by New York Life and it's wholly owned subsidiaries.; c/o Sherman Atlas Sylvester & Stamelman LLP, 210 Park Avenue 2nd Floor, Florham Park, NJ 07932; Start Date 11/2023; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours; Passive investor owns 200 shares of Common Stocks] [Insurance Brokering; appointed with outside carriers for the purpose of brokering non-registered products and through Cavalier Associates; 2801 Townsgate Rd. Ste 350, Westlake Village, CA 91361; Start Date 06/2023; Role/Title: Independent Producer; Investment Related; 0 hours per month; 0 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Yuen Han Lee'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
August 21, 2023 - Present
EAGLE STRATEGIES LLC
Office #1: 44364 S Grimmer Blvd, Fremont, CA 94538RIA
CRD#: 110826
FREMONT, CA
Current
April 22, 2016 - Present
NYLIFE SECURITIES LLC
Office #1: 44364 S Grimmer Blvd, Fremont, CA 94538BD
CRD#: 5167
Fremont, CA
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
California(5/4/2016)
IAR
California(8/21/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/28/2023
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.
