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Alexander Dalton
EAGLE STRATEGIES LLC
KNOXVILLE, TN 37919
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CRD#: 7538481
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Professional summary
Alexander Dalton, who also goes by Alex Dalton, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Knoxville, Tennessee and NYLIFE SECURITIES LLC located in Knoxville, Tennessee.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Alexander has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex Dalton
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.
[CAK Middle School Football; Offensive Coordinator. I will be serving as my alma mater's middle school football offensive coordinator. Roughly 12 hours per week will be spent coaching games, and helping run practice.; 529 Academy Way, Knoxville, TN 37923; Start Date 07/2023; Role/Title: Offensive Coordinator / Assistant Coach; Not Investment Related; 50 hours per month; 9 hours per month during securities trading hours] [Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered products.; 7000 Six Forks Rd Suite 103, Raleigh, NC 27615; Start Date 05/2025; Role/Title: Insurance Broker; Investment Related; 10 hours per month; 10 hours per month during securities trading hours][BNI Knoxville - Legacy; BNI is the world's largest international networking organization. They have "chapters/networking groups" in each geographic area, and each chapter has a leadership team.; 11525 N Community House Rd 475, Charlotte, North Carolina, 28277; Start Date 10/2023; Role/Title: Board Member; Not Investment Related; 6 hours per month; 0 hours per month during securities trading hours; vice president]
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Dalton'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
October 4, 2023 - Present
EAGLE STRATEGIES LLC
Office #1: 265 Brookview Centre Way Suite 102, Knoxville, TN 37919RIA
CRD#: 110826
KNOXVILLE, TN
Current
October 14, 2022 - Present
NYLIFE SECURITIES LLC
Office #1: 265 Brookview Centre Way Suite 102, Knoxville, TN 37919BD
CRD#: 5167
Knoxville, TN
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
Tennessee(12/8/2022)
IAR
Tennessee(10/4/2023)
RR
Virginia(4/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 10/14/2022
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
EAGLE STRATEGIES LLC
CRD#: 110826Knoxville, TN 37919TRUST BUT VERIFY
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