Ricki L. Williams
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ricki Lynne Williams, who also goes by Ricki Lynne Clark, was a registered financial professional .
Ricki is a previously registered financial professional and started their career in finance in 1982. Ricki had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2016 - October 29, 2018
NYLIFE SECURITIES LLC
January 26, 2012 - October 28, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 17, 2007 - October 28, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 28, 2006 - November 7, 2007
E*TRADE SECURITIES LLC
February 24, 2006 - June 2, 2006
ASSOCIATED BOND BROKERS, INC.
July 1, 2003 - June 16, 2005
WELLS FARGO CLEARING SERVICES, LLC
November 4, 1992 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 4, 1992 - November 3, 1992
CITIGROUP GLOBAL MARKETS INC.
July 24, 1991 - February 28, 1992
WELLS FARGO CLEARING SERVICES, LLC
February 27, 1990 - July 9, 1991
AMERICAN CAPITAL MARKETING, INC.
October 30, 1986 - January 10, 1990
CIBC WORLD MARKETS CORP.
August 11, 1986 - October 23, 1986
TRADESTAR INVESTMENTS,INC.
July 24, 1985 - August 19, 1986
A. G. EDWARDS & SONS, INC.
July 6, 1982 - January 10, 1990
CIBC WORLD MARKETS CORP.
April 29, 1982 - June 24, 1982
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
