Nelson Behar
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.
Nelson Behar, who also goes by Nelson None Behar, was a registered financial professional .
Nelson is a previously registered financial professional and started their career in finance in 1985. Nelson had worked at 15 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2004 - September 24, 2004
NYLIFE SECURITIES LLC
September 23, 2003 - January 12, 2004
CAPITAL BROKERAGE CORPORATION
July 31, 2002 - March 3, 2003
ALLSTATE FINANCIAL SERVICES, LLC
June 7, 2000 - August 1, 2002
USALLIANZ SECURITIES, INC.
April 27, 1998 - February 8, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 1, 1996 - June 12, 1996
WALNUT STREET SECURITIES, INC.
October 4, 1995 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
June 19, 1992 - December 14, 1994
ONEAMERICA SECURITIES, INC.
June 19, 1992 - December 14, 1994
AMERICAN UNITED LIFE INSURANCE COMPANY
February 13, 1991 - June 11, 1992
VP DISTRIBUTORS LLC
November 13, 1989 - December 21, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 13, 1989 - December 21, 1990
PRUCO SECURITIES, LLC.
June 26, 1989 - October 27, 1989
RELIASTAR FINANCIAL MARKETING CORP.
April 22, 1987 - May 30, 1989
VOYA FINANCIAL ADVISORS, INC.
December 15, 1986 - June 6, 1989
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
December 19, 1985 - July 15, 1986
PRUCO SECURITIES, 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 |
| 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.
