Gregory P. Prokott

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CRD#: 1384865

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.

Gregory Paul Prokott, who also goes by Greg Prokott, was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1993. Gregory had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Greg Prokott

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 25, 2015 - August 20, 2018

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

BLAINE, MN

Past

March 25, 2015 - August 20, 2018

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

January 1, 2010 - March 9, 2015

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

June 7, 2002 - January 1, 2010

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA

CRD#: 109264

HOUSTON, TX

Past

May 21, 1998 - March 9, 2015

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

June 13, 1997 - March 27, 1998

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

July 6, 1993 - June 24, 1997

IAI SECURITIES, INC.

CRD#: 27917

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/11/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/20/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/29/1993

General Securities Representative Examination

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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Contact information

Main Address

51 Madison Avenue, New York, NY 10010

Mailing Address

Phone number

(888) 474-7725

Established

Firm type

Fiscal year end

# of Employees

349

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,047
AUM (Assets Under Management)	$ 113,162,976,263

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.

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Advisor Monitoring

Firm Stability Insights

Gregory P. Prokott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

INVESCO ADVISERS, INC.

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

INVESCO DISTRIBUTORS, INC.

U.S. BANCORP INVESTMENTS, INC.

IAI SECURITIES, INC.

Primary Firm SEC Registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/11/2002

Series 63

Date: 7/15/1993

SIE

Date: 8/20/2018

Series 7

Date: 6/29/1993

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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