Jeffrey J. Klein
Professional summary
Jeffrey Joel Klein, who also goes by Jeff Klein, Jeffrey Joel Klein, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Plano, Texas.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1987. Jeffrey has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Joel Klein's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 30, 2025 - Present
NYLIFE SECURITIES LLC
Office #1: 7160 Dallas Parkway Suite 510, Plano, TX 75024June 2, 2021 - May 30, 2025
NYLIFE DISTRIBUTORS LLC
December 28, 2015 - June 2, 2021
NYLIFE SECURITIES LLC
February 13, 2014 - December 15, 2014
AVANTAX INVESTMENT SERVICES, INC.
February 11, 2014 - December 15, 2014
AVANTAX ADVISORY SERVICES
March 4, 1997 - February 10, 2014
AVANTAX ADVISORY SERVICES
August 23, 1990 - February 10, 2014
AVANTAX INVESTMENT SERVICES, INC.
December 22, 1987 - March 10, 1989
1717 CAPITAL MANAGEMENT COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/30/2025)
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.
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Company Information
NYLIFE SECURITIES LLC
CRD#: 5167Plano, TX 75024TRUST BUT VERIFY
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