Jeffrey M. Findling
Professional summary
Jeffrey Michael Findling is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Marietta, Georgia and NYLIFE DISTRIBUTORS LLC located in Manalapan, New Jersey.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Jeffrey has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Michael Findling's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2022 - Present
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
May 4, 2006 - Present
NYLIFE DISTRIBUTORS LLC
January 21, 2010 - February 9, 2022
EAGLE STRATEGIES LLC
May 8, 2006 - October 15, 2013
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
July 28, 2005 - April 24, 2006
TRUIST INVESTMENT SERVICES, INC.
July 28, 2005 - April 24, 2006
TRUIST INVESTMENT SERVICES, INC.
May 22, 2002 - June 20, 2005
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
August 3, 2000 - June 20, 2005
NYLIFE DISTRIBUTORS LLC
September 30, 1998 - May 18, 2000
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
May 25, 1988 - October 31, 1988
CIBC WORLD MARKETS CORP.
August 18, 1986 - April 26, 1988
RONEY & CO. L.L.C.
October 20, 1983 - August 25, 1986
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
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.
