Linda Richards
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.
Linda Richards, who also goes by Linda Sue Morrill, Lynn Sue Morrill, Lynn Morrill, Lynn Richards, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1982. Linda had worked at 10 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 24, Series 10, Series 9, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2015 - April 15, 2020
NYLIFE SECURITIES LLC
December 13, 2013 - February 11, 2014
GBS FINANCIAL CORP.
October 25, 2013 - February 17, 2015
WESTERN INTERNATIONAL SECURITIES, INC.
May 5, 2003 - December 13, 2013
GBS FINANCIAL CORP.
December 4, 2002 - February 14, 2003
PROTECTED INVESTORS OF AMERICA
July 24, 2000 - September 16, 2002
CITIGROUP GLOBAL MARKETS INC.
January 4, 1999 - August 20, 1999
JWGENESIS FINANCIAL GROUP, INC
April 30, 1998 - January 4, 1999
CHATFIELD DEAN & CO., INC.
October 11, 1984 - July 3, 1985
FIRST AFFILIATED SECURITIES, INC.
July 20, 1983 - July 5, 1984
BLINDER, ROBINSON & CO., INC.
January 30, 1982 - April 20, 1982
J DANIEL BELL & COMPANY, INC.
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
Series 7TO
Date: 10/6/2022
General Securities Representative ExaminationSeries 52TO
Date: 10/6/2022
Municipal Securities Representative ExaminationCurrent 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.
