William M. Bartin
Professional summary
William Michael Bartin is a registered financial professional currently at NYLIFE SECURITIES LLC located in Waltham, Massachusetts.
William is registered as a RR (Registered Representative) and started their career in finance in 1989. William has worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Michael Bartin's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 29, 2025 - Present
NYLIFE SECURITIES LLC
Office #1: 201 Jones Road 5th Floor, Waltham, MA 02451June 23, 2011 - November 2, 2020
OSAIC INSTITUTIONS, INC.
June 23, 2011 - November 2, 2020
OSAIC INSTITUTIONS, INC.
January 16, 2009 - June 2, 2011
INVESTMENT PROFESSIONALS, INC.
January 12, 2009 - June 2, 2011
INVESTMENT PROFESSIONALS, INC.
June 16, 2008 - January 9, 2009
U.S. FINANCIAL ADVISORS
June 5, 2008 - January 9, 2009
U.S. WEALTH ADVISORS, LLC.
July 21, 2005 - May 13, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 11, 2005 - May 13, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 9, 2002 - April 21, 2003
RBC CAPITAL MARKETS, LLC
May 7, 1999 - March 9, 2002
TUCKER ANTHONY INCORPORATED
May 25, 1994 - May 3, 1999
COMMONWEALTH FINANCIAL NETWORK
January 21, 1992 - June 2, 1994
GUARDIAN INVESTOR SERVICES LLC
May 24, 1989 - January 2, 1992
WS GRIFFITH SECURITIES, INC.
May 24, 1989 - January 17, 1992
HOME LIFE INSURANCE 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
Exams
Series 7TO
Date: 3/19/2024
General Securities Representative ExaminationFINRA
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NYLIFE SECURITIES LLC
CRD#: 5167Waltham, MA 02451TRUST BUT VERIFY
Monitor William Bartin
Get automatic monthly alerts on:
