John W. Marcum
Professional summary
John William Marcum is a registered financial professional currently at NYLIFE SECURITIES LLC located in Lexington, Kentucky.
John is registered as a RR (Registered Representative) and started their career in finance in 1983. John has worked at 7 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John William Marcum's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 11, 2008 - Present
NYLIFE SECURITIES LLC
Office #1: 243 Regency Circle Suite A, Lexington, KY 40503June 10, 1999 - May 20, 2008
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 1, 1997 - June 11, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
January 15, 1997 - October 1, 1997
USLIFE EQUITY SALES CORP.
May 20, 1996 - January 28, 1997
OSAIC FS, INC.
February 14, 1990 - December 31, 1995
WOODBURY FINANCIAL SERVICES, INC.
November 7, 1985 - February 17, 1990
OSAIC FS, INC.
September 20, 1984 - July 9, 1985
TITAN/VALUE EQUITIES GROUP, INC.
May 26, 1983 - February 17, 1990
OSAIC FS, 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
(7/19/2012)
(6/11/2008)
Exams
FINRA
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
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Company Information
NYLIFE SECURITIES LLC
CRD#: 5167Lexington, KY 40503TRUST BUT VERIFY
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