Nunzio C. Lipomi
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.
Nunzio C Lipomi, who also goes by Nunzio Calogero Lipomi, Nunzio Pomi Lipomi, was a registered financial professional .
Nunzio is a previously registered financial professional and started their career in finance in 1986. Nunzio had worked at 8 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
March 25, 2016 - May 10, 2016
NYLIFE SECURITIES LLC
April 20, 2015 - December 31, 2015
PFS INVESTMENTS INC.
July 3, 2014 - September 23, 2014
PRUCO SECURITIES, LLC.
February 18, 1997 - October 30, 1998
CAMBRIDGE PARTNERS, L.L.C.
January 6, 1996 - November 27, 1996
METROPOLITAN LIFE INSURANCE COMPANY
January 6, 1996 - November 27, 1996
MSI FINANCIAL SERVICES, INC.
February 3, 1995 - September 22, 1995
NEW ENGLAND SECURITIES
September 6, 1994 - September 22, 1995
NEW ENGLAND SECURITIES
September 27, 1993 - August 5, 1994
METROPOLITAN LIFE INSURANCE COMPANY
September 27, 1993 - August 5, 1994
MSI FINANCIAL SERVICES, INC.
April 3, 1986 - November 28, 1986
FORESTERS FINANCIAL SERVICES, 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 |
| 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
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