Kerry K. Donohoe
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.
Kerry Kevin Donohoe, who also goes by Kerry K Donohoe, Kerry Donohoe, Kerry Kevin Kupar, Kerry Kupar, Kerry Lineback, Kerry K Penning, Kerry Donohoe Pierce, was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 1988. Kerry had worked at 11 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2019 - February 16, 2022
NYLIFE SECURITIES LLC
April 6, 2011 - October 2, 2013
CETERA WEALTH SERVICES, LLC
April 5, 2011 - October 2, 2013
CETERA WEALTH SERVICES, LLC
October 10, 2007 - August 23, 2010
WELLS FARGO INVESTMENTS, LLC
October 9, 2007 - August 23, 2010
WELLS FARGO INVESTMENTS, LLC
July 24, 2006 - August 8, 2007
UBS FINANCIAL SERVICES INC.
July 11, 2006 - August 8, 2007
UBS FINANCIAL SERVICES INC.
May 26, 1999 - November 26, 1999
PACIFIC WEST SECURITIES, INC.
February 16, 1998 - April 9, 1999
MORGAN STANLEY DW INC.
March 2, 1996 - February 11, 1998
CITIGROUP GLOBAL MARKETS INC.
January 4, 1996 - February 9, 1996
COSSE' INTERNATIONAL SECURITIES, INC.
November 2, 1993 - April 5, 1995
DAIN RAUSCHER INCORPORATED
May 21, 1991 - September 7, 1993
WELLS FARGO CLEARING SERVICES, LLC
October 20, 1989 - October 29, 1993
DAIN RAUSCHER INCORPORATED
February 23, 1988 - October 5, 1989
CIBC WORLD MARKETS CORP.
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
Series 7TO
Date: 8/1/2019
General Securities Representative ExaminationCurrent 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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