AS
Arvind Saxena
EAGLE STRATEGIES LLC
FREMONT, CA
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CRD#: 7270550
AS
Professional summary
Arvind Saxena is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Fremont, California and NYLIFE SECURITIES LLC located in Fremont, California.
Arvind is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Arvind has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO 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.
[Arvind Saxena Inc.; Dormant corporation; 133 Black Mountain Circle, Fremont, CA 94536; start 04/2013; owner; no hours, no compensation; non-investment related] [Rental Property; Rental Property; 22622 2nd St, Hayward, CA 94541; Start Date 02/2017; Role/Title: Owner; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours; collect rent] [Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered products; 39650 Liberty St, Suite 200, Fremont, CA 94536; Start Date 12/2023; Role/Title: Insurance Broker; Investment Related; 5 hours per month; 0 hours per month during securities trading hours; Insurance Brokering] [OPERATING UNDER THE DBA NAME OF New Genesis Financials & Insurance Solutions Inc. FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; FREMONT CA; START DATE: 03/2024]
CRS (Client Relationship Summary) - RIA
Click below to view Arvind Saxena'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
February 23, 2024 - Present
EAGLE STRATEGIES LLC
Office #2: 39650 Liberty Street Suite 200, Fremont, CA 94538RIA
CRD#: 110826
FREMONT, CA
Current
March 21, 2022 - Present
NYLIFE SECURITIES LLC
Office #1: 39650 Liberty Street Suite 200, 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(3/16/2023)
IAR
California(2/23/2024)
RR
New Jersey(11/28/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/18/2022
General Securities 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.
