SU
Steven J. Uy
EAGLE STRATEGIES LLC
PASADENA, CA 91101
Some features on this profile are disabled
CRD#: 6673431
SU
Professional summary
Steven Josh Uy is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Pasadena, California and NYLIFE SECURITIES LLC located in Pasadena, California.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Steven has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
[Rental Property; Single Unit Condo currently rented out.; 1434 Highland AVE Unit 8 Duarte, CA 91010; Start Date 08/2021; Role/Title: Owner; Investment Related; 1 hours per month; 0 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF ISLAND WEALTH STRATEGIES AND INSURANCE SOLUTIONS, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; PASADENA, CA; START DATE: 04/2022] [American Marriage Ministries; Officiate Weddings for close friends and family at their request.; 304 Alaskan Way S Ste 102 Seattle, WA 98104; Start Date 09/2022; Role/Title: Member; Not Investment Related; 2 hours per month; 0 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF MONARCH GROVE WEALTH STRATEGIES AND INSURANCE SOLUTIONS FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; (ASSOCIATE); (PASADENA CA); START DATE: 02/2023][APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 55 S Lake Ave Suite 200 Pasadena, CA 91010; Start Date 09/2018; Role/Title: Insurance Broker; Investment Related; 10 hours per month; 10 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Steven Josh Uy'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
September 30, 2019 - Present
EAGLE STRATEGIES LLC
Office #1: 55 South Lake Ave Suite 200, Pasadena, CA 91101RIA
CRD#: 110826
PASADENA, CA
Current
October 12, 2018 - Present
NYLIFE SECURITIES LLC
Office #1: 55 S Lake Ave Suite 200, Pasadena, CA 91101-2676BD
CRD#: 5167
PASADENA, CA
Past
September 21, 2016 - September 21, 2018
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
MONROVIA, 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
Arizona(10/19/2020)
RR
California(10/12/2018)
IAR
California(9/30/2019)
RR
Florida(11/14/2023)
RR
Hawaii(11/25/2024)
RR
Maryland(4/9/2025)
RR
Nevada(3/11/2025)
RR
Oklahoma(10/28/2024)
RR
South Carolina(1/20/2022)
RR
Texas(11/26/2019)
IAR
Texas(6/21/2023)
RR
Virginia(8/3/2023)
RR
Washington(1/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/3/2019
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.
