Michael B. Kearns
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.
Michael Brian Kearns was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 9 firms and has passed the Series 63, Series 7TO, SIE 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
November 30, 2000 - April 4, 2006
NYLIFE SECURITIES LLC
November 30, 2000 - March 2, 2021
NYLIFE DISTRIBUTORS LLC
June 12, 1997 - July 15, 1998
IDS LIFE INSURANCE COMPANY
June 12, 1997 - July 15, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
November 16, 1992 - March 26, 1996
GLOBAL ATLANTIC DISTRIBUTORS, LLC
August 30, 1991 - November 11, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 16, 1989 - August 31, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 16, 1989 - August 31, 1990
PRUCO SECURITIES, LLC.
December 20, 1988 - May 8, 1989
OSBORNE, STERN & COMPANY, 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 7TO
Date: 6/18/2024
General Securities Representative ExaminationCurrent 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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