Randall Wysocki
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.
Randall Wysocki, who also goes by Randall Robert Wysocki, Randy Wysocki, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1990. Randall had worked at 14 firms and has passed the Series 63 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 26, 2012 - November 7, 2012
NYLIFE SECURITIES LLC
July 18, 2007 - January 12, 2011
NATIONWIDE SECURITIES, LLC
September 26, 2006 - June 26, 2007
SIGNATOR INVESTORS, INC.
August 13, 2004 - September 22, 2005
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
September 23, 2002 - January 15, 2004
WADDELL & REED
December 13, 2001 - May 14, 2002
METROPOLITAN LIFE INSURANCE COMPANY
December 13, 2001 - May 14, 2002
MSI FINANCIAL SERVICES, INC.
January 10, 2000 - May 14, 2001
SECURITIES AMERICA, INC.
March 27, 1998 - December 31, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
January 10, 1997 - September 30, 1997
USLIFE EQUITY SALES CORP.
October 21, 1994 - January 1, 1997
INVESTORS ASSOCIATES, INC.
March 12, 1993 - September 27, 1994
S.C. PARKER & CO., INC.
May 12, 1992 - December 14, 1992
J. PEARCE SECURITIES, INC.
March 21, 1990 - April 9, 1990
TAW SECURITIES, 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
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.
