Larry Baumwald
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.
Larry Baumwald, who also goes by Larry I Baumwald, Lawrence Irwin Baumwald, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1983. Larry had worked at 11 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2012 - November 1, 2013
NYLIFE SECURITIES LLC
August 28, 2009 - August 18, 2011
DEMPSEY LORD SMITH, LLC
January 26, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 26, 2004 - January 6, 2009
MSI FINANCIAL SERVICES, INC.
March 20, 2003 - November 11, 2003
METROPOLITAN LIFE INSURANCE COMPANY
March 20, 2003 - November 11, 2003
MSI FINANCIAL SERVICES, INC.
January 31, 2002 - December 31, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 18, 2000 - December 31, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 9, 1999 - January 31, 2000
LOCUST STREET SECURITIES, INC.
August 19, 1997 - February 3, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 19, 1997 - February 3, 1999
OSAIC FA, INC.
April 12, 1995 - August 15, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 17, 1992 - March 13, 1995
NATIONAL PLANNING CORPORATION
July 17, 1983 - December 15, 1990
NATIONWIDE SECURITIES, 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.
