Ian G. Grice
Professional summary
Ian George Grice is a registered financial professional currently at NYLIFE SECURITIES LLC located in New York, New York.
Ian is registered as a RR (Registered Representative) and started their career in finance in 1989. Ian has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ian George Grice's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 18, 2018 - Present
NYLIFE SECURITIES LLC
Office #1: 51 Madison Avenue, New York, NY 10010September 26, 2011 - June 1, 2018
ING FINANCIAL MARKETS LLC
November 20, 2008 - March 11, 2011
EQUITABLE ADVISORS, LLC
September 19, 2007 - July 2, 2008
OPPENHEIMER & CO. INC.
March 13, 2002 - June 20, 2008
FREEDOM INVESTMENTS, INC.
November 16, 1999 - March 12, 2002
BUYANDHOLD SECURITIES CORPORATION
January 22, 1998 - June 1, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 6, 1995 - June 1, 1999
PRUCO SECURITIES, LLC.
November 12, 1990 - September 11, 1995
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, INC.
May 26, 1989 - December 11, 1990
PRUDENTIAL EQUITY GROUP, 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
(10/18/2018)
Exams
FINRA
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
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