Richard W. Loney
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.
Richard Wayne Loney, who also goes by Jack Loney, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 9 firms and has passed the Series 63, SIE, Series 6 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
June 15, 2015 - April 11, 2019
NYLIFE SECURITIES LLC
September 11, 2006 - December 14, 2006
SUNSET FINANCIAL SERVICES, INC.
November 22, 2004 - March 13, 2006
VOYA FINANCIAL ADVISORS, INC.
July 16, 2004 - November 22, 2004
AMERITAS INVESTMENT COMPANY, LLC
May 21, 2001 - July 20, 2004
SUNSET FINANCIAL SERVICES, INC.
February 20, 1998 - February 24, 2000
FBL MARKETING SERVICES, LLC
October 30, 1995 - May 16, 1997
LOCUST STREET SECURITIES, INC.
February 16, 1989 - May 2, 1989
CARILLON INVESTMENTS, INC.
May 26, 1987 - December 31, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
January 2, 1987 - June 26, 1987
AMERIPRISE FINANCIAL SERVICES, 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
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 |
| 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 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| 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.
