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DB

Derrick E. Barnes

NYLIFE SECURITIES LLC
New York, NY 10170
Some features on this profile are disabled
CRD#: 1835526
DB

Professional summary

Derrick E Barnes is a registered financial professional currently at NYLIFE SECURITIES LLC located in New York, New York.

Derrick is registered as a RR (Registered Representative) and started their career in finance in 1989. Derrick has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Derrick E Barnes's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 13, 2003 - Present

NYLIFE SECURITIES LLC

Office #1: 420 Lexington Avenue 14th & 15th Floor, New York, NY 10170
BD
CRD#: 5167
New York, NY
Past

September 18, 2000 - September 19, 2003

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

September 18, 2000 - September 19, 2003

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

September 17, 1992 - July 18, 2000

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

March 8, 1989 - August 28, 1992

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

March 8, 1989 - August 28, 1992

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(4/18/2018)
RR
Florida
(11/10/2017)
RR
Georgia
(7/29/2022)
RR
Louisiana
(6/9/2021)
RR
Maryland
(5/21/2020)
RR
Nevada
(2/10/2021)
RR
New Jersey
(10/15/2003)
RR
New Mexico
(2/22/2021)
RR
New York
(10/13/2003)
RR
North Carolina
(8/10/2018)
RR
Pennsylvania
(10/15/2003)
RR
South Carolina
(6/24/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/27/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/23/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/7/1989
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NYLIFE SECURITIES LLC
NEW YORK LIFE SECURITIES CORP. | NYLIFE SECURITIES LLC | NYLIFE SECURITIES INC. | NEW YORK LIFE VARIABLE CONTRACTS CORPORATION

CRD#: 5167 / SEC#: , 8-15517

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
51 Madison Ave. Room 713, New York, NY 10010
Mailing Address
51 Madison Avenue Room 713, New York, NY 10010
Phone number
(212) 576-7000
Established
Delaware since 01/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NYLIFE LLC.SHAREHOLDER
BAGTAS, ANGELA CHENELECTED MANAGER8172856
BOCCIO, JOHN MICHAELCHIEF EXECUTIVE OFFICER AND PRESIDENT4600977
DUARTE, DEBORAH LYNNELECTED MANAGER6090278
ENGELBRECHTSEN, TOM DAHLCORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER2908809
FEINBERG, AMARYA NMNELECTED MANAGER8162482
HUANG, DYLAN WEIELECTED MANAGER AND CHAIRMAN6233208
LOFTUS, PATRICIA ELIZABETHCORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER2156131
SCHWARTZ, RACHEL SABRINAVICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL8170474
TILLOTSON, SANDRA GELECTED MANAGER7617600
VIRENDRA, SONALI NMNELECTED MANAGER2404467
ZAMAN, NABEEDVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER6410914

Disclosures

Regulatory Event13
Arbitration7

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.

Company Information

NYLIFE SECURITIES LLC

CRD#: 5167New York, NY 10170

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