James F. Rudolph
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 Francis Rudolph, who also goes by Jim Francis Rudolph, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 12 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2010 - October 4, 2013
NYLIFE SECURITIES LLC
July 1, 2009 - April 8, 2010
EQUITABLE ADVISORS, LLC
July 17, 2006 - July 20, 2009
PRINCIPAL SECURITIES, INC.
June 7, 2006 - July 20, 2009
PRINCIPAL SECURITIES, INC.
August 25, 2005 - June 21, 2006
PARK AVENUE SECURITIES LLC
October 21, 2002 - August 12, 2005
BLUE VASE SECURITIES, LLC
March 19, 2001 - October 30, 2002
VSR FINANCIAL SERVICES, INC.
January 2, 1996 - March 28, 2001
CETERA WEALTH SERVICES, LLC
March 23, 1990 - December 31, 1995
OPPENHEIMER & CO. INC.
February 16, 1989 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
June 25, 1986 - November 16, 1988
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 25, 1985 - July 11, 1986
SIGNATOR INVESTORS, INC.
August 30, 1984 - October 25, 1985
GREEN HILL FINANCIAL SERVICE CORPORATION
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.
