David R. Terry
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.
David Russell Terry Sr., who also goes by David Russell Terry, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 9 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 3, Series 7, Series 52, Series 28 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
August 5, 2024 - June 17, 2025
NYLIFE SECURITIES LLC
September 24, 2004 - March 31, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 19, 1998 - December 17, 2001
COLBY CAPITAL INTERNATIONAL, LLC
May 12, 1997 - February 11, 1998
UBS FINANCIAL SERVICES INC.
May 12, 1995 - March 3, 1997
WACHOVIA SECURITIES, INC.
June 3, 1993 - June 16, 1995
FIRST UNION CAPITAL MARKETS CORP.
November 6, 1992 - May 7, 1993
GREAT BAY SECURITIES, INC.
April 12, 1990 - October 22, 1992
FIRST UNION CAPITAL MARKETS CORP.
June 29, 1989 - April 30, 1990
CITICORP SECURITIES, INC.
October 19, 1983 - March 15, 1985
FIRST TRYON 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
Series 7TO
Date: 8/2/2024
General Securities Representative ExaminationSeries 28
Date: 5/1/2001
Introducing Broker/Dealer Financial Operations Principal 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 |
| 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 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| 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.
