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Simon John Ellis

Eagle Strategies LLC

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About Simon John Ellis

Simon John Ellis is a Registered Representative and Investment Advisor Representative with Eagle Strategies LLC. Simon has been in the securities industry since April 17, 2007. Simon is licensed in 7 states and has been registered with the Securities and Exchange Commission since December 15, 2021. Simon has a strong track record of providing financial advice and guidance to individuals, families, and businesses.

Firm Information

Simon Ellis is currently registered with Eagle Strategies LLC. Eagle Strategies LLC is an investment advisor headquartered in NEW YORK, NY. They offer a range of services including financial planning, pension consulting, educational seminars, and publication of periodicals. The firm manages assets for individuals, high-net-worth individuals, corporations, charitable organizations, and individuals other than high-net-worth clients. They also participate in wrap fee programs.
Eagle Strategies LLC

51 MADISON AVENUE

NEW YORK, NY 10010

$20.36B

Assets Under Management

6,070

Total Clients

2,031

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Simon Ellis’s Registration & Firm History

MA

12/15/2021 - Present

Eagle Strategies LLC (LEOMINSTER MA)

RI

12/07/1998 - 07/27/1999

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

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Licenses & Designations

BOTH

Issued 09/03/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/31/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/22/2014

Series 7 - General Securities Representative Examination

BC

Issued 12/06/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Simon John Ellis. Review regulatory record here.
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