Monty Alan Alspaugh

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	2005-04-05

TX RA
APPROVED

Since 2005-04-05

Branch Locations

Arlington, TX • United States

5005 Lyndon B Johnson Fwy Suite 1600 & Suite 1125, Dallas, TX 75244 • 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 No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
New York Life	Dallas	TX	09/2001	Present
Nylife Securities	Dallas	TX	09/2001	Present
Eagle Strategies Llc	Dallas	TX	04/2005	Present

09/2001 → Present

New York Life

Dallas, TX
09/2001 → Present

Nylife Securities

Dallas, TX
04/2005 → Present

Eagle Strategies Llc

Dallas, TX

Other Businesses

[APPOINTED WITH VARIOUS OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; INSURANCE BROKER; INVESTMENT RELATED; START DATE 3/2003 ] [The Airfield Financial Group, LLC; commission receipt for outside brokered business 718 Hinsdale Dr. Arlington, TX 76006; Start Date 08/2018; Role/Title: Owner; Investment Related; 30 hours per month; 30 hours per month during securities trading hours] [Property and Casualty Sales; Appointed with outside carriers for the purpose of brokering property and Casualty products.; 718 Hinsdale Dr. Arlington, TX 76006; Start Date 06/2001; Role/Title: Insurance Broker; Investment Related; 1 hours per month; 1 hours per month during securities trading hours]

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-03-22
S63	Uniform Securities Agent State Law Examination	2000-07-07

S65 Uniform Investment Adviser Law Examination

2005-03-22
S63 Uniform Securities Agent State Law Examination

2000-07-07

View on SEC IAPD