Rick Kent Stivers

Employer firm

Eagle Strategies LLC CRD 110826

$32.0B regulatory AUM 6,662 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Periodicals / newsletters
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Eagle Strategies Llc

51 Madison Avenue 12Th Floor, New York, NY 10010 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-12-16
SC	RA	APPROVED	2025-12-16

FL RA
APPROVED

Since 2025-12-16
SC RA
APPROVED

Since 2025-12-16

Branch Locations

Due West, SC • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
New York Life Insurance Company	Sacramento	CA	10/1988	Present
Nylife Securities Llc	Roseville	CA	12/1988	Present
Stivers Financial And Insurance Services, Llc	Myrtle Beach	SC	06/2009	Present
Lens Financial & Insurance Solutions	Due West	SC	09/2023	Present

10/1988 → Present

New York Life Insurance Company

Sacramento, CA
12/1988 → Present

Nylife Securities Llc

Roseville, CA
06/2009 → Present

Stivers Financial And Insurance Services, Llc

Myrtle Beach, SC
09/2023 → Present

Lens Financial & Insurance Solutions

Due West, SC

Other Businesses

[APPOINTED WITH MUTIPLE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSUANCE PRODUCTS; INVESTMENT RELATED; START DATE 5/2002] [STIVERS FINANCIAL AND INSURANCE SERVICES, LLC - DBA FOR ALL PRODUCTS TO INCLUDE NYL, EAGLE STRATEGIES] [TWO RENTAL UNITS IN MYRTLE BEACH, S.C.; OWNER; RESPONSIBILITIES HANDLED BY ON-SITE MANAGEMENT COMPANY; 24 HOURS/MONTH; START DATE 11/2005] [MONEY MANAGEMENT EDUCATORS; NYL purchased all of MME's intellectual property-receipt of monies owed on sale through 2027; 136 Beech Valley Drive, Due West, SC 29639; Start Date 06/1990; Role/Title: Director; Not Investment Related; 1 hours per month; 1 hours per month during securities trading hours] [Macro Innovation, LLC; Provide consulting services to New York Life for their programs, MAP, GuideMe, MME; 136 Beech Valley Dr, Due West, SC 29639; Start Date 07/2017; Role/Title: Manager-Consultant; Investment Related; 100 hours per month; 100 hours per month during securities trading hours] [AIDEN FOUNDATION; DIRECTOR; NON INVESTMENT RELATED; BOARD MEMBER; START DATE 05/2002] [OPERATING UNDER THE DBA NAME OF Lens Financial & Insurance Solutions FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; DUE WEST SC ; START DATE: 09/2023]

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-05-12
S63	Uniform Securities Agent State Law Examination	1991-03-11

S65 Uniform Investment Adviser Law Examination

2000-05-12
S63 Uniform Securities Agent State Law Examination

1991-03-11

Other Names

Rick K Stivers

View on SEC IAPD