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Benjamin R Richey

Eagle Strategies LLC

Carlsbad, CA

CRD 4636193

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2026-05-28
CA RA APPROVED 2025-01-14
  • TX RA
    APPROVED
    Since 2026-05-28
  • CA RA
    APPROVED
    Since 2025-01-14

Branch Locations

Carlsbad, CA • 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
OrganizationCityStateFromTo
New York Life Insurance Insurance Company Ogden UT 02/2003 Present
Nylife Securities Llc Salt Lake City UT 12/2003 Present
Eagle Strategies Llc Scottsdale AZ 10/2014 Present
  • 02/2003 → Present
    New York Life Insurance Insurance Company
    Ogden, UT
  • 12/2003 → Present
    Nylife Securities Llc
    Salt Lake City, UT
  • 10/2014 → Present
    Eagle Strategies Llc
    Scottsdale, AZ
Other Businesses

BROKER NON-REGISTERED NON NEW YORK LIFE INSURANCE PRODUCTS

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-06-29
  • S63 Uniform Securities Agent State Law Examination
    2004-06-29
Designations
  • Certified Financial Planner
Other Names
  • Ben R Richey

View on SEC IAPD

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