Barry L. Finkelstein

EAGLE STRATEGIES LLC

Deerfield, IL 60015-4747

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CRD#: 736467

Professional summary

Barry Leonard Finkelstein, CFP® is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Deerfield, Illinois and NYLIFE SECURITIES LLC located in Deerfield, Illinois.

Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Barry has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Leonard Finkelstein's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Current

July 30, 2010 - Present

EAGLE STRATEGIES LLC

Office #1: 1650 Lake Cook Road Suite 500, Deerfield, IL 60015-4747

RIA

CRD#: 110826

Deerfield, IL

Current

June 16, 2010 - Present

NYLIFE SECURITIES LLC

Office #1: 1650 Lake Cook Road Suite 500, Deerfield, IL 60015-4747

CRD#: 5167

Deerfield, IL

Past

February 4, 2006 - April 19, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

SKOKIE, IL

Past

September 27, 1991 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

September 27, 1991 - April 19, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

SKOKIE, IL

Past

January 4, 1991 - August 13, 1991

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

August 30, 1989 - January 18, 1991

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

January 3, 1989 - July 26, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

Past

October 10, 1984 - January 30, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

September 2, 1981 - May 16, 1985

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

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".

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.

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

Arizona
(4/3/2025)

California
(9/9/2010)

Colorado
(9/27/2012)

Florida
(3/3/2016)

Illinois
(6/16/2010)

IAR

Illinois
(7/30/2010)

New York
(8/1/2012)

North Carolina
(3/25/2025)

Texas
(7/15/2022)

IAR

Texas
(4/26/2023)

Washington
(7/24/2024)

Wisconsin
(3/22/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/18/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/13/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/31/1981

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA

Registered Investment Advisory firm - (10/14/1988 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (11/11/2025)

EAGLE STRATEGIES DISCLOSURE BROCHURE (10/23/2025)

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	Cover Page	Report
04/25/2024	Cover Page	Report
12/20/2023	Cover Page	Report

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.

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Firm Stability Insights

Barry L. Finkelstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Leonard Finkelstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CIBC WORLD MARKETS CORP.

GUARDIAN INVESTOR SERVICES LLC

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/18/2006

Series 63

Date: 11/13/1991

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1988

Series 6

Date: 8/31/1981

FINRA

Current Firm

EAGLE STRATEGIES LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EAGLE STRATEGIES LLC

TRUST BUT VERIFY

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