YN
Yuka N. Nakaharagoven
NYLIFE SECURITIES LLC
Dallas, TX 75244
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CRD#: 1319267
YN
Professional summary
Yuka Nakahara Nakaharagoven, who also goes by Yuka Nakaharagoven, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Dallas, Texas.
Yuka is registered as a RR (Registered Representative) and started their career in finance in 1984. Yuka has worked at 2 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Yuka Nakaharagoven
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Yuka Nakahara Nakaharagoven's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 14, 1985 - Present
NYLIFE SECURITIES LLC
Office #1: 5005 Lyndon B Johnson Freeway Suite 1600, Dallas, TX 75244BD
CRD#: 5167
Dallas, TX
Past
November 26, 1984 - January 16, 1985
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/15/1988)
RR
Colorado(3/22/2019)
RR
Florida(2/12/2019)
RR
Hawaii(2/26/2019)
RR
Illinois(2/8/2019)
RR
Kansas(2/21/2019)
RR
Louisiana(11/18/1991)
RR
Maryland(10/21/2025)
RR
Massachusetts(3/28/2019)
RR
Missouri(2/21/2019)
RR
Nebraska(10/13/2010)
RR
Nevada(3/22/2019)
RR
New Jersey(1/29/2019)
RR
New York(9/18/1998)
RR
Ohio(2/26/2019)
RR
Pennsylvania(1/29/2019)
RR
Texas(3/15/1985)
RR
Virginia(3/28/2019)
RR
Washington(2/21/2019)
RR
Wisconsin(3/15/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NYLIFE SECURITIES LLC
NEW YORK LIFE SECURITIES CORP. | NYLIFE SECURITIES LLC | NYLIFE SECURITIES INC. | NEW YORK LIFE VARIABLE CONTRACTS CORPORATION
CRD#: 5167 / SEC#: , 8-15517
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
51 Madison Ave. Room 713, New York, NY 10010
Mailing Address
51 Madison Avenue Room 713, New York, NY 10010
Phone number
(212) 576-7000
Established
Delaware since 01/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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.
