Vincent M. Conte
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.
Vincent M Conte, who also goes by VIncent Marion Conte, Vinnie Conte, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1984. Vincent had worked at 15 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 22 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
July 30, 2012 - October 7, 2014
NYLIFE SECURITIES LLC
March 4, 2010 - September 9, 2010
W&S BROKERAGE SERVICES, INC.
September 2, 2008 - December 12, 2008
MML INVESTORS SERVICES, LLC
January 2, 2008 - August 7, 2008
QA3 FINANCIAL CORP.
December 19, 2007 - August 7, 2008
QA3 FINANCIAL LLC
June 15, 2005 - December 16, 2005
ALLSTATE FINANCIAL SERVICES, LLC
September 4, 2002 - February 16, 2005
MSI FINANCIAL SERVICES, INC.
August 29, 2002 - February 16, 2005
METROPOLITAN LIFE INSURANCE COMPANY
August 29, 2002 - February 16, 2005
MSI FINANCIAL SERVICES, INC.
December 13, 2001 - August 12, 2002
COMMONWEALTH FINANCIAL NETWORK
December 13, 2001 - August 12, 2002
COMMONWEALTH FINANCIAL NETWORK
October 27, 1992 - December 20, 2001
MONY SECURITIES CORPORATION
February 22, 1991 - October 29, 1992
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 17, 1989 - March 4, 1991
LEHMAN BROTHERS INC.
March 8, 1988 - December 31, 1988
CETERA WEALTH SERVICES, LLC
February 4, 1986 - March 8, 1988
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 16, 1984 - September 10, 1985
BOS SECURITIES INC.
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.
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