CR
Courtney L. Ruiz
EAGLE STRATEGIES LLC
EDINA, MN 55435
Some features on this profile are disabled
CRD#: 6751342
CR
Professional summary
Courtney Lynn Ruiz is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Edina, Minnesota and NYLIFE SECURITIES LLC located in Edina, Minnesota.
Courtney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Courtney has worked at 2 firms and has passed the Series 65, 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.
[Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered products.; 3600 Minnesota Drive #100 Edina, MN 55435; Start Date 03/2024; Role/Title: Insurance Broker; Investment Related; 2 hours per month; 2 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF VERITAS FINANCIAL STRATEGIES, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES; INVESTMENT RELATED; ASSOCIATE; EDINA, MN; START DATE: 02/2019] [Cottage Grove Area Chamber of Commerce; I am part of the Cottage Grove Area Chamber of Commerce and I am a volunteer on the Ambassador Committee, as part of the Chamber.; 8617 W Point Douglas Rd #150 Cottage Grove MN 55016; Start Date 01/2020; Role/Title: Member; Not Investment Related; 4 hours per month; 2 hours per month during securities trading hours;attend meetings to know what is going in the community. I welcome new business to the community and see how the Chamber can help them] [Washington County; I will be an election judge 3 times per year for 15 hrs per election.I will be supervising the elections, making sure every ballot is counted and the election is fair. ; 14949 62nd Street North Stillwater, MN 55082; Start Date 03/2024; Role/Title: Employee; Not Investment Related; 1 hours per month; 1 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Courtney Lynn Ruiz'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
November 28, 2023 - Present
EAGLE STRATEGIES LLC
Office #1: 3600 Minnesota Drive Suite 100, Edina, MN 55435RIA
CRD#: 110826
EDINA, MN
Current
December 13, 2018 - Present
NYLIFE SECURITIES LLC
Office #1: 3600 Minnesota Drive Suite 100, Edina, MN 55435BD
CRD#: 5167
Edina, MN
Past
October 1, 2018 - November 28, 2018
NYLIFE SECURITIES LLC
BD
CRD#: 5167
BLOOMINGTON, MN
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(3/4/2022)
RR
District of Columbia(9/1/2020)
RR
Iowa(10/9/2025)
RR
Michigan(10/18/2024)
RR
Minnesota(2/2/2019)
IAR
Minnesota(11/28/2023)
RR
Washington(3/4/2022)
RR
Wisconsin(8/20/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/4/2024
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
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.
