MC
Mary E. Capparuccini
EAGLE STRATEGIES
SOUTH BURLINGTON, VT 05403
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CRD#: 7305495
MC
Mary Esther CapparucciniEAGLE STRATEGIES
Professional summary
Mary Esther Capparuccini is a registered financial advisor currently at EAGLE STRATEGIES LLC located in South Burlington, Vermont and NYLIFE SECURITIES LLC located in South Burlington, Vermont.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Mary has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
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.
[The Friendly Toast; Non-investment related; 86 St Paul St, Burlington, VT 05401; Hospitality/Food; Line Cook on Sautee Station Employee; start 08/2020; 20 hours per month, 0 hours devoted during securities trading; I only work on weekends ;Duties include making omelets and pasta dishes, cleaning my food station, and doing food prep.] [Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered products ; 56 West Twin Oaks Terrace, Suit 1. South Burlington, VT, 05403; Start Date 04/2024; Role/Title: Insurance Broker; Investment Related; .5 hours per month; .5 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF Hadley Financial Group FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES; INVESTMENT RELATED; ASSOCIATE; SO BURLINGTON, VT; START DATE: 02/2023] [Burlington Young Professionals - Advisory Board; Burlington Young Professionals is a subsection of the Lake Champlain Chamber of Commerce. Their job is to host networking events for young professionals in the greater Chittenden County Region of Vermont.; 60 Main Street, Suite 100, Burlington, VT 05401; Start Date 10/2023; Role/Title: Board Member; Not Investment Related; 2 hours per month; 0 hours per month during securities trading hours; give the full time BYP staffer advice on where to host future meet-ups and they show up early to events to greet networkers.][Women Business Owners Network - Vermont; A non-profit organization supporting female business owners in the state of Vermont.; PO Box 173. Williston, VT 05495; Start Date 01/2025; Role/Title: Board Member; Not Investment Related; 1 hours per month; 0 hours per month during securities trading hours; assist in planning the annual conference and an occasional holiday or seasonal function.][Business Network International (BNI); A local networking chapter based in South Burlington, VT and a part of the larger BNI network.; 95 Allen Road South Burlington VT 05403; Start Date 10/2025; Role/Title: Officer; Not Investment Related; 4 hours per month; 0 hours per month during securities trading hours; chapter president]
CRS (Client Relationship Summary) - RIA
Click below to view Mary Esther Capparuccini'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 13, 2023 - Present
EAGLE STRATEGIES LLC
Office #1: 56 West Twin Oaks Terrace Suite 1, South Burlington, VT 05403RIA
CRD#: 110826
SOUTH BURLINGTON, VT
Current
January 9, 2023 - Present
NYLIFE SECURITIES LLC
Office #1: 56 West Twin Oaks Terrace Suite 1, South Burlington, VT 05403BD
CRD#: 5167
SOUTH BURLINGTON, VT
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
Alabama(10/11/2024)
RR
Maine(2/12/2026)
RR
Missouri(9/14/2023)
RR
Montana(3/10/2026)
RR
New Hampshire(1/30/2023)
RR
New York(4/20/2023)
RR
Vermont(1/26/2023)
IAR
Vermont(4/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/9/2023
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)Loading...
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.
