Peter A. Ippolito
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.
Peter Anthony Ippolito, who also goes by Peter A Ippolito, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1983. Peter had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2012 - April 4, 2013
NYLIFE SECURITIES LLC
April 22, 2010 - July 5, 2012
VALIC FINANCIAL ADVISORS, INC.
April 12, 2010 - July 5, 2012
VALIC FINANCIAL ADVISORS, INC.
March 11, 2008 - June 25, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 22, 2006 - June 25, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 11, 2005 - February 24, 2006
TEACHERS PERSONAL INVESTORS SERVICES, INC.
October 21, 1994 - December 31, 1995
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 22, 1988 - April 7, 2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 16, 1983 - July 7, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 16, 1983 - July 28, 1987
EQUITABLE ADVISORS, 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.
