Richard John Ernst

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
NY	RA	APPROVED	2021-08-25

NY RA
APPROVED

Since 2021-08-25

Branch Locations

Campbell Hall, NY • 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 Co	Newburgh	NY	04/1983	Present
Nylife Securities Inc.	New Windsor	NY	11/1983	Present
Eagle Strategies Llc	Campbell Hall	NY	08/2021	Present

04/1983 → Present

New York Life Insurance Co

Newburgh, NY
11/1983 → Present

Nylife Securities Inc.

New Windsor, NY
08/2021 → Present

Eagle Strategies Llc

Campbell Hall, NY

Other Businesses

[INSURANCE BROKERING; AGENT SUPPORT GROUP 58 MAYBROOK ROAD, CAMPBELL HALL, NY; START DATE 08/2007; ROLE/TITLE: INSURANCE BROKER; INVESTMENT RELATED; 40 HOURS PER MONTH; 40 HOURS PER MONTH DURING SECURITIES TRADING HOURS] I AM A REGISTERED INVESTMENT ADVISER REPRESENTATIVE OF EAGLE STRATEGIES CORP., A REGISTERED INVESTMENT ADVISOR FIRM. I SPEND APPRX. 4 HOURS A MONTH. CFP CLASS INSTRUCTOR NOTARY PUBLIC

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1984-09-28

S63 Uniform Securities Agent State Law Examination

1984-09-28

Designations

Chartered Financial Consultant

View on SEC IAPD