James K. Atkinson
Professional summary
James K Atkinson, who also goes by James K Atkinson, James Kevin Atkinson, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Melville, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James K Atkinson's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 25, 2021 - Present
NYLIFE SECURITIES LLC
Office #1: 520 Broad Hollow Rd., Melville, NY 11747March 20, 2018 - July 7, 2020
AX TRADING, LLC
March 10, 2015 - March 31, 2017
TRADITION SECURITIES AND DERIVATIVES LLC
April 24, 2012 - March 11, 2015
BONDS.COM LLC
October 11, 2011 - February 28, 2012
DEALERWEB LLC
March 15, 2010 - October 7, 2011
RAFFERTY CAPITAL MARKETS, LLC
March 11, 2002 - March 10, 2010
BGC FINANCIAL, L.P.
January 31, 2002 - March 12, 2002
ICAP SECURITIES USA LLC
January 8, 2001 - January 25, 2002
ICAP SECURITIES USA LLC
September 11, 1992 - November 9, 2000
TULLETT LIBERTY BROKERAGE INC.
July 25, 1987 - September 15, 1992
INTERCAPITAL GOVERNMENT 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
(9/29/2023)
(8/25/2021)
(9/29/2023)
(9/29/2023)
(9/22/2021)
(11/19/2021)
(9/29/2023)
Exams
FINRA
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.
