Amin H. Ladak
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.
Amin Hussein Ladak, who also goes by Amin Ladak Sebsnmis, was a registered financial professional .
Amin is a previously registered financial professional and started their career in finance in 1987. Amin had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 26 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2014 - August 5, 2015
NYLIFE SECURITIES LLC
June 8, 2010 - July 14, 2014
PARK AVENUE SECURITIES LLC
May 26, 2010 - July 14, 2014
PARK AVENUE SECURITIES LLC
August 20, 2008 - April 30, 2010
NYLIFE SECURITIES LLC
December 6, 2005 - May 29, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 4, 1998 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
February 4, 1998 - May 29, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 10, 1997 - December 31, 1997
WS GRIFFITH SECURITIES, INC.
April 23, 1997 - June 10, 1997
1717 CAPITAL MANAGEMENT COMPANY
September 16, 1991 - April 28, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 9, 1987 - September 24, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
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
Series 12
Date: 5/20/1998
NYSE Branch Manager ExaminationCurrent 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.
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