Timothy Coles Carter

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
CA	RA	APPROVED	2006-02-28

CA RA
APPROVED

Since 2006-02-28

Branch Locations

2020 Main Street 10Th Floor, Irvine, CA 92614 • 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 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 Ins Company	West Orange	CA	09/1978	Present
Nylife Securities Llc	Santa Ana	CA	12/1982	Present
Eagle Strategies Llc	Laguna Beach	CA	08/2006	Present

09/1978 → Present

New York Life Ins Company

West Orange, CA
12/1982 → Present

Nylife Securities Llc

Santa Ana, CA
08/2006 → Present

Eagle Strategies Llc

Laguna Beach, CA

Other Businesses

BROKERING NON REGISTERED INSURANCE PRODUCTS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-02-13
S63	Uniform Securities Agent State Law Examination	1998-01-27

S65 Uniform Investment Adviser Law Examination

2006-02-13
S63 Uniform Securities Agent State Law Examination

1998-01-27

View on SEC IAPD