Amy M Kates

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
MA	RA	APPROVED	2009-03-13

MA RA
APPROVED

Since 2009-03-13

Branch Locations

Cotuit, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
New York Life Ins Co	Waltham	MA	05/1988	Present
Nylife Securities Inc.	Waltham	MA	02/1989	Present
Eagle Strategies Llc	Cotuit	MA	03/2009	Present
Kates Financial & Insurance Strategies	Cotuit	MA	04/2013	Present

05/1988 → Present

New York Life Ins Co

Waltham, MA
02/1989 → Present

Nylife Securities Inc.

Waltham, MA
03/2009 → Present

Eagle Strategies Llc

Cotuit, MA
04/2013 → Present

Kates Financial & Insurance Strategies

Cotuit, MA

Other Businesses

INVESTMENT ADVISOR AFFILIATED WITH EAGLE STRATEGIES LLC [OPERATING UNDER THE DBA NAME OFKATES FINANCIAL & INSURANCE STRATEGIES FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; 4782 FALMOUTH ROAD, P.O. BOX 1090, COTUIT, MA 02635; OWNER; START DATE: 04/2013]

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-04-21

S63 Uniform Securities Agent State Law Examination

1989-04-21

Designations

Certified Financial Planner

View on SEC IAPD