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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Stephen Lee

Advisor at EAGLE STRATEGIES LLC

WEST ISLIP, NY | NEW YORK, NY

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Search this name across graphsid dfx:ria:e20c8cf8-a5d8-9f42-4e06-a6ea21137b52

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 18, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: EAGLE STRATEGIES LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 20, 2021
First registration: Apr 18, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 3182026

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EAGLE STRATEGIES LLC	Bd affiliated wealth	Jun 8, 2021	n/a	yes	WEST ISLIP, NY\|NEW YORK, NY	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 9, 2017	Nov 21, 2017	no	NEW YORK, NY	Previous registration
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	Asset manager	May 1, 2010	Feb 13, 2017	no	MINNEAPOLIS, MN\|BOSTON, MA	Previous registration
BOFA ADVISORS, LLC	Former SEC adviser	Apr 18, 2006	May 1, 2010	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	EAGLE STRATEGIES LLC	Nov 21, 2017	Jun 8, 2021	1,295	Firm change after gap	Wirehouse to ibd
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 13, 2017	Jun 9, 2017	116	Firm change	Other
BOFA ADVISORS, LLC	COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	May 1, 2010	May 1, 2010	0	Bulk transfer	Other

Relationships

Registered with (4)

→ EAGLE STRATEGIES LLCRegistered adviserregistration: current employment
Jun 8, 2021 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 9, 2017 to Nov 21, 2017factForm ADV
→ COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLCRegistered adviserregistration: previous registration
May 1, 2010 to Feb 13, 2017factForm ADV
→ BOFA ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 18, 2006 to May 1, 2010factForm ADV

Dated events

No dated event names this entity yet.