James Chau
Professional summary
James Chau, who also goes by James Quoc Chau, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Haymarket, Virginia.
James is registered as a RR (Registered Representative) and started their career in finance in 1985. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Chau's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 20, 2022 - Present
NYLIFE SECURITIES LLC
November 10, 2022 - October 22, 2025
EAGLE STRATEGIES LLC
November 19, 2019 - March 8, 2022
MML INVESTORS SERVICES, LLC
November 13, 2019 - March 8, 2022
MML INVESTORS SERVICES, LLC
June 27, 2018 - October 9, 2019
NYLIFE SECURITIES LLC
March 1, 2018 - June 4, 2018
MML INVESTORS SERVICES, LLC
February 9, 2018 - June 4, 2018
MML INVESTORS SERVICES, LLC
February 7, 2017 - January 10, 2018
NYLIFE SECURITIES LLC
June 16, 1988 - February 18, 1992
DELAWARE DISTRIBUTORS, L.P.
September 8, 1987 - June 13, 1988
CITICORP SECURITIES, INC.
January 23, 1985 - July 23, 1987
CREDIT SUISSE SECURITIES (USA) 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
(2/2/2024)
(4/25/2022)
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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