JK
John C. Keene
EAGLE STRATEGIES LLC
KAILUA, HI
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CRD#: 6943145
JK
Professional summary
John Christopher Keene is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Kailua, Hawaii and NYLIFE SECURITIES LLC located in Honolulu, Hawaii.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. John has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE 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.
[Family Programs Hawaii; Family Programs Hawaii is a 501 (c) 3 nonprofit organization. Their mission statement is, "We strengthen youth and families in the child welfare system through high quality preventive, support and transition services."; 801 S. King Street, Honolulu, Hawaii 96813; Start Date 06/2019; Role/Title: Board Member; Not Investment Related; 2 hours per month; 0 hours per month during securities trading hours] [APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS.; 841 Bishop Street, Suite 1900 Honolulu, HI 96813; Start Date 11/2021; Role/Title: Insurance Broker; Investment Related; 2 hours per month; 2 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF KEENE FINANCIAL GROUP, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; HONOLULU, HI; START DATE: 04/2022] [My Lanikai LLC - Dormant; Was created as a business prior to joining NYL but ended up being a shell company. Does not conduct any business.; PO Box 641, Kailua, HI 96734; Start Date 02/2015; Role/Title: Owner; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [My Kailua LLC - Dormant; Was created as a business prior to joining NYL but ended up being a shell company. Does not conduct any business.; PO Box 641, Kialua, HI 96734; Start Date 05/2013; Role/Title: Owner; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [Miss Oshare LLC - Dormant; My daughter was interested in creating a clothing company. It is a shell company. No business is done in it.; PO Box 641 Kailua, Hawaii 96734; Start Date 04/2015; Role/Title: Owner; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [Keen and Associates, LLC - Dormant; Name of LLC I created before my career with NYL. It was for when I was a consultant. It is now a shell company. There is no business being done with this company.; PO Box 641 Kailua, Hawaii 96734; Start Date 05/2009; Role/Title: Owner; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours][NYLARC Holding Company Inc.; New York Life Agents Reinsurance; 51 Madison Avenue, New York, NY 10010; Start Date 11/2023; Role/Title: Passive Shareholder; Investment Related; 1 hours per month; 1 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view John Christopher Keene'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 19, 2023 - Present
EAGLE STRATEGIES LLC
Office #2: 733 Bishop Street Suite 2800, Honolulu, HI 96813RIA
CRD#: 110826
KAILUA, HI
Current
May 10, 2019 - Present
NYLIFE SECURITIES LLC
Office #1: 733 Bishop Street Suite 2200 & 2150, Honolulu, HI 96813BD
CRD#: 5167
HONOLULU, HI
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(4/16/2020)
RR
Connecticut(4/16/2020)
RR
Florida(9/26/2023)
RR
Hawaii(8/15/2019)
IAR
Hawaii(4/19/2023)
RR
Illinois(1/17/2023)
RR
Maryland(11/7/2024)
RR
Michigan(9/16/2024)
RR
Nebraska(8/26/2021)
RR
Nevada(6/4/2021)
RR
New Jersey(3/10/2022)
RR
New York(4/16/2020)
RR
North Carolina(10/22/2022)
RR
Ohio(5/8/2025)
RR
Oregon(4/16/2020)
RR
Utah(8/2/2023)
RR
Virginia(6/15/2024)
RR
Washington(5/14/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/2/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/9/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
