Peter A. Collins
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.
Peter Andrew Collins, CFP® was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1985. Peter had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2000
Experience
October 1, 2019 - December 9, 2019
NYLIFE SECURITIES LLC
August 1, 2018 - November 30, 2018
SECURIAN FINANCIAL SERVICES, INC.
July 30, 2018 - November 30, 2018
SECURIAN FINANCIAL SERVICES, INC.
April 1, 2013 - December 31, 2016
OSAIC SERVICES, INC.
March 28, 2013 - March 28, 2013
OSAIC SERVICES, INC.
March 26, 2013 - December 31, 2016
OSAIC SERVICES, INC.
August 15, 2007 - April 19, 2013
OSAIC FS, INC.
July 16, 2007 - April 19, 2013
OSAIC FS, INC.
April 6, 2004 - July 9, 2007
MML INVESTORS SERVICES, LLC
February 17, 2004 - July 9, 2007
MML INVESTORS SERVICES, LLC
February 10, 2003 - June 18, 2003
CITICORP INVESTMENT SERVICES
February 10, 2003 - June 18, 2003
CITICORP INVESTMENT SERVICES
January 11, 2000 - February 6, 2003
EQUITABLE ADVISORS, LLC
November 23, 1988 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 23, 1988 - February 6, 2003
EQUITABLE ADVISORS, LLC
July 23, 1985 - September 24, 1988
MORGAN STANLEY DW INC.
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 |
| 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.
