Emil G. Luckey
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.
Emil George Luckey, who also goes by Emil George Luckey, E George Luckey, was a registered financial professional .
Emil is a previously registered financial professional and started their career in finance in 1989. Emil had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3 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
August 28, 2020 - September 2, 2020
NYLIFE SECURITIES LLC
April 24, 2019 - October 30, 2019
PRUCO SECURITIES, LLC.
April 3, 2019 - October 30, 2019
PRUCO SECURITIES, LLC.
September 29, 2016 - March 29, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
September 28, 2016 - March 29, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 1, 2010 - September 9, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
May 25, 2007 - September 9, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
December 8, 2006 - June 5, 2007
CROWELL, WEEDON & CO.
January 6, 2003 - December 8, 2006
THE SEIDLER COMPANIES INCORPORATED
November 15, 2001 - January 2, 2003
A. G. EDWARDS & SONS, INC.
April 12, 1999 - November 12, 2001
PRUDENTIAL EQUITY GROUP, LLC
February 25, 1997 - May 5, 1999
MORGAN STANLEY DW INC.
July 31, 1993 - March 6, 1997
CITIGROUP GLOBAL MARKETS INC.
January 24, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
May 11, 1989 - December 18, 1989
THE STUART-JAMES COMPANY, INCORPORATED
April 3, 1989 - May 25, 1989
THE OXFORD GROUP, 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
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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