James Alexander Thom

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
TX	RA	APPROVED_RES	2022-08-24
LA	RA	APPROVED	2022-06-27

TX RA
APPROVED_RES

Since 2022-08-24
LA RA
APPROVED

Since 2022-06-27

Branch Locations

2431 South Acadian Thruway Suite 400, Baton Rouge, LA 70808 • United States

Disclosures

1 disclosure category 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 No
Criminal Yes
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 Insurance Company	Baton Rouge	LA	05/2002	Present
Eagle Strategies Llc	Baton Rouge	LA	06/2022	Present
Nylife Securities Llc	Baton Rouge	LA	06/2002	Present

05/2002 → Present

New York Life Insurance Company

Baton Rouge, LA
06/2022 → Present

Eagle Strategies Llc

Baton Rouge, LA
06/2002 → Present

Nylife Securities Llc

Baton Rouge, LA

Other Businesses

[RENTAL PROPERTY; OWNER; INVESTMENT RELATED; START DATE 10/2002; FARMLAND; BATON ROUGE LA 70808] [APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS-DISABILITY INSURANCE THROUGH GUARDIAN/BERKSHIRE; INVESTMENT RELATED; START DATE 10/2008; BATON ROUGE LA 70808] [NYLARC Holding Company; Re-insuring the life insurance that I write with New York Life; 51 Madison Avenue, New York , NY 10010; Start Date 04/2019; Role/Title: Shareholder; Investment Related; 1 hours per month; 1 hours per month during securities trading hours]

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2004-04-17

S63 Uniform Securities Agent State Law Examination

2004-04-17

Designations

Chartered Financial Consultant

Other Names

Jamie Thom
James A Thom

View on SEC IAPD