Napoleon B. Matucan
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.
Napoleon Barlin Matucan, who also goes by Nap Matucan, Napoleon Balin Matucan, Napoleon Barlin Natucha, was a registered financial professional .
Napoleon is a previously registered financial professional and started their career in finance in 1988. Napoleon had worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2014 - September 4, 2025
NYLIFE SECURITIES LLC
May 29, 2013 - May 22, 2014
CETERA INVESTMENT ADVISERS LLC
May 29, 2013 - May 22, 2014
CETERA INVESTMENT SERVICES LLC
May 29, 2013 - May 22, 2014
CETERA FINANCIAL SPECIALISTS LLC
May 29, 2013 - May 22, 2014
CETERA WEALTH SERVICES, LLC
April 26, 2013 - May 22, 2014
CETERA ADVISORS LLC
April 26, 2013 - May 22, 2014
CETERA ADVISORS LLC
May 24, 2006 - August 16, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 12, 2006 - August 16, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 13, 2005 - March 10, 2006
LPL FINANCIAL LLC
March 1, 1990 - June 7, 2005
CHARLES SCHWAB & CO., INC.
May 24, 1989 - October 30, 1989
WACHOVIA SECURITIES, INC.
April 10, 1989 - June 21, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 6, 1989 - April 19, 1989
HANIFEN, IMHOFF SECURITIES CORP.
October 19, 1988 - January 17, 1989
GRAYSTONE NASH, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 3/4/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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
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