NB
Nicolas Baker
EAGLE STRATEGIES LLC
ALBUQUERQUE, NM 87109
Some features on this profile are disabled
CRD#: 6736633
NB
Professional summary
Nicolas Baker, who also goes by Nicolas Jeremiah Baker, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Albuquerque, New Mexico and NYLIFE SECURITIES LLC located in Albuquerque, New Mexico.
Nicolas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Nicolas has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicolas Jeremiah Baker
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.
[Mantis Kung Fu Academy; Martial arts school that provides martial arts instruction to the general public.; 8388 Comanche Rd NE, Albuquerque, NM 87110; Start Date 01/2019; Role/Title: Owner; Not Investment Related; 15 hours per month; 0 hours per month during securities trading hours] [Structured settlement brokering; See notes attached; 6565 Americas Parkway NE, Suite 300, Albuquerque, NM 87110; Start Date 06/2017; Role/Title: Independent Contractor; Investment Related; 2 hours per month; 2 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF SYNDICUS FINANCIAL, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; ALBUQUERQUE, NM; START DATE: 03/2020] APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 6565 Americas Parkway NE, Suite 300, Albuquerque, NM 87110; Start Date 02/2020; Role/Title: Owner; Investment Related; 5 hours per month; 5 hours per month during securities trading hours] [Parker Center for Family Business; Non-profit serving the needs of family owned businesses in the challenges of working together with family members.; 1922 Las Lomas NE Albuquerque, NM 87106; Start Date 04/2023; Role/Title: Board Member; Not Investment Related; 2 hours per month; 2 hours per month during securities trading hours; Board member working with committee details of spreading word through the community and assisting with events.] [OPERATING UNDER THE DBA NAME OF Syndicus Financial and Insurance Services LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; ALBUQUERQUE NM; START DATE: 11/2024] [Valley Way Ventures, LLC - Dormant; Holding company for future real estate investment; 7441 Bartlett St. NE, Ste 2A, Albuquerque, NM 87109; Start Date 07/2025; Role/Title: Owner; Investment Related; 1 hours per month; 1 hours per month during securities trading hours; Owner] [OPERATING UNDER THE DBA NAME OF Syndicus Settlements, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; ALBUQUERQUE NM; START DATE: 10/2025]
CRS (Client Relationship Summary) - RIA
Click below to view Nicolas Baker'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
March 2, 2020 - Present
EAGLE STRATEGIES LLC
Office #1: 7441 Bartlett St Ne Suite 2a, Albuquerque, NM 87109RIA
CRD#: 110826
ALBUQUERQUE, NM
Current
March 30, 2017 - Present
NYLIFE SECURITIES LLC
Office #1: 7441 Bartlett St Ne Suite 2a, Albuquerque, NM 87109BD
CRD#: 5167
ALBUQUERQUE, NM
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(9/23/2020)
RR
Arizona(11/26/2018)
RR
California(5/17/2017)
RR
Colorado(5/11/2020)
RR
Connecticut(9/10/2024)
RR
Florida(2/4/2020)
RR
Georgia(11/18/2021)
RR
Indiana(7/7/2020)
RR
Iowa(11/11/2022)
RR
Kansas(4/5/2021)
RR
Kentucky(7/15/2025)
RR
Maryland(1/15/2021)
RR
Michigan(8/21/2025)
RR
Minnesota(10/27/2017)
RR
Mississippi(11/26/2018)
RR
Nebraska(10/14/2021)
RR
Nevada(7/7/2025)
RR
New Hampshire(2/10/2022)
RR
New Jersey(4/30/2020)
RR
New Mexico(4/14/2017)
IAR
New Mexico(3/2/2020)
RR
North Carolina(11/21/2019)
RR
North Dakota(4/16/2021)
RR
Ohio(5/5/2021)
RR
Oklahoma(5/23/2023)
RR
Oregon(6/22/2022)
RR
Texas(8/1/2017)
IAR
Texas(4/20/2021)
RR
Utah(3/12/2025)
RR
Vermont(5/18/2023)
RR
Virginia(6/14/2017)
RR
Washington(4/25/2019)
RR
Wisconsin(12/24/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/2/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
EAGLE STRATEGIES LLC
CRD#: 110826Albuquerque, NM 87109TRUST BUT VERIFY
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