Timothy O. Bonham
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.
Timothy Oneil Bonham, who also goes by Timothy O'neil Bonham, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1982. Timothy had worked at 20 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 25, Series 7, Series 3 and Series 24 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, 2022 - April 5, 2023
NYLIFE SECURITIES LLC
October 7, 2015 - January 13, 2017
OBERON SECURITIES, LLC
April 27, 2012 - November 18, 2014
GUGGENHEIM SECURITIES, LLC
September 4, 2008 - March 9, 2012
COWEN SECURITIES LLC
February 17, 2006 - September 2, 2008
MORGAN JOSEPH TRIARTISAN LLC
April 6, 2004 - February 16, 2006
R.W.PRESSPRICH & CO.
February 20, 2004 - April 2, 2004
FJG SECURITIES INC.
July 29, 2003 - February 19, 2004
GERMAN, FREDERICK JAY
July 28, 2003 - April 5, 2004
TD PRIME SERVICES LLC
November 4, 2002 - July 23, 2003
FULCRUM GLOBAL PARTNERS LLC
April 20, 2000 - October 31, 2002
H.C.WAINWRIGHT & CO., LLC
February 2, 1999 - April 17, 2000
PREFERREDTRADE, INC.
August 18, 1998 - October 5, 1998
COWEN PRIME SERVICES TRADING LLC
December 11, 1997 - August 4, 1998
ROTH CAPITAL PARTNERS, LLC
September 4, 1990 - February 22, 1993
WELLS FARGO CLEARING SERVICES, LLC
March 12, 1990 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
October 24, 1989 - March 3, 1990
COMMONWEALTH SECURITIES AND INVESTMENTS, INC.
August 6, 1986 - September 1, 1989
PRESCOTT, BALL & TURBEN, INC.
September 12, 1984 - June 17, 1985
WILLIAM BLAIR
March 29, 1984 - September 24, 1984
J.P. MORGAN SECURITIES LLC
May 24, 1982 - March 2, 1984
KEYBANC CAPITAL MARKETS 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: 3/24/2022
General Securities Representative ExaminationSeries 55
Date: 8/3/2004
Limited Representative-Equity Trader ExamSeries 25
Date: 12/4/2003
NYSE Trading Assistant 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.
