TK
Thomas C. Klotz
EAGLE STRATEGIES LLC
KENNER, LA 70065
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CRD#: 862317
TK
Professional summary
Thomas Clifford Klotz, who also goes by Tom Klotz, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Kenner, Louisiana and NYLIFE SECURITIES LLC located in Kenner, Louisiana.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Thomas has worked at 2 firms and has passed the Series 63, Series 65, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Klotz
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.
[PPOINTED WITH VARIOUS OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; insurance broker; investment related; start date 10/2001] [RENTAL PROPERTY; OWNER; INVESTMENT RELATED; START DATE 3/2012] [Square One Kenner Condo Association; OFFICER; NON INVESTMENT RELATED; START DATE 1/2010; TREASURER] [Woodlands Conservancy; Land trust.; P O Box 7028 Belle Chasse, LA 70037; Start Date 04/2022; Role/Title: Officer; Not Investment Related; 5 hours per month; 3 hours per month during securities trading hours; treasurer]
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Clifford Klotz'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
July 5, 2006 - Present
EAGLE STRATEGIES LLC
Office #1: 4232 Williams Blvd Suite 107, Kenner, LA 70065RIA
CRD#: 110826
KENNER, LA
Current
October 22, 1982 - Present
NYLIFE SECURITIES LLC
Office #1: 4232 Williams Blvd Suite 107, Kenner, LA 70065BD
CRD#: 5167
KENNER, LA
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(1/6/2006)
RR
Arkansas(1/25/2018)
RR
Georgia(1/3/2007)
RR
Louisiana(11/9/1984)
IAR
Louisiana(7/5/2006)
RR
South Carolina(2/10/2022)
RR
Texas(1/6/2006)
IAR
Texas(5/9/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/24/1979
Registered Representative ExaminationSRO 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#: 110826Kenner, LA 70065TRUST BUT VERIFY
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