Albert J. Godfrey
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.
Albert James Godfrey Jr, who also goes by Albert James Godfrey Jr, Albert James Godfrey, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1984. Albert had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2021 - December 15, 2021
NYLIFE SECURITIES LLC
January 4, 2021 - July 8, 2021
THE LEADERS GROUP, INC.
March 15, 2011 - November 3, 2020
PACIFIC SELECT DISTRIBUTORS, LLC
May 12, 2009 - January 19, 2010
PACIFIC SELECT DISTRIBUTORS, LLC
May 31, 2006 - September 15, 2006
NEW ENGLAND SECURITIES
August 12, 2004 - May 31, 2006
THE LEADERS GROUP, INC.
July 12, 2004 - July 16, 2004
CLARK SECURITIES, INC.
June 20, 1991 - December 31, 1992
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 17, 1987 - May 20, 1991
SECURIAN FINANCIAL SERVICES, INC.
July 19, 1985 - May 20, 1991
SECURIAN FINANCIAL SERVICES, INC.
November 6, 1984 - July 31, 1985
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
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.
