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James Millard Smith

Eagle Strategies LLC

Montgomery, TX

CRD 3183678

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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 2024-03-12
  • TX RA
    APPROVED
    Since 2024-03-12

Branch Locations

21123 Eva St Suite 210, Montgomery, TX 77356 • 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 Houston TX 01/1998 Present
Nylife Securities Inc. Houston TX 02/1999 Present
Eagle Strategies Llc Spring TX 03/2024 Present
  • 01/1998 → Present
    New York Life
    Houston, TX
  • 02/1999 → Present
    Nylife Securities Inc.
    Houston, TX
  • 03/2024 → Present
    Eagle Strategies Llc
    Spring, TX
Other Businesses

AGENT IS APPOINTED WITH VARIOUS OUTSIDE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-03-04
S63 Uniform Securities Agent State Law Examination 1999-03-02
  • S66 Uniform Combined State Law Examination
    2024-03-04
  • S63 Uniform Securities Agent State Law Examination
    1999-03-02
Other Names
  • Jim Smith
  • Jimmy Smith
  • James Smith

View on SEC IAPD

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