James M. Barrett
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.
James Michael Barrett, who also goes by James Michael Barrett Jr, Jim Barrett, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6 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
October 23, 2014 - July 21, 2017
NYLIFE SECURITIES LLC
August 16, 2012 - December 10, 2012
SIGNATOR INVESTORS, INC.
June 3, 2010 - January 28, 2011
NYLIFE SECURITIES LLC
March 19, 2009 - July 13, 2009
SII INVESTMENTS, INC.
April 11, 2007 - September 26, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 15, 2006 - March 5, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 15, 2006 - March 5, 2007
MSI FINANCIAL SERVICES, INC.
May 25, 2005 - October 26, 2006
NEW ENGLAND SECURITIES
December 8, 2004 - May 13, 2005
MML INVESTORS SERVICES, LLC
April 15, 2004 - December 9, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 15, 2004 - December 9, 2004
OSAIC FA, INC.
January 11, 2002 - March 4, 2004
HORNOR, TOWNSEND & KENT, LLC
September 15, 1999 - December 21, 2001
METROPOLITAN LIFE INSURANCE COMPANY
September 15, 1999 - December 21, 2001
MSI FINANCIAL SERVICES, INC.
August 12, 1998 - July 24, 1999
MML INVESTORS SERVICES, LLC
January 23, 1995 - June 22, 1998
CARILLON INVESTMENTS, INC.
May 8, 1987 - April 18, 1994
1717 CAPITAL MANAGEMENT COMPANY
May 16, 1985 - April 29, 1987
NEW ENGLAND SECURITIES
February 9, 1984 - October 4, 1984
VP DISTRIBUTORS 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.
