Andrea M. Caggiano
Professional summary
Andrea Marie Caggiano, who also goes by Andrea Marie Brickman, Andrea Marie Bricman, Andrea Falzone, Andrea Falzonecaggiano, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Melville, New York.
Andrea is registered as a RR (Registered Representative) and started their career in finance in 1989. Andrea has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrea Marie Caggiano's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 24, 2004 - Present
NYLIFE SECURITIES LLC
Office #1: 1660 Walt Whitman Road, Melville, NY 11747March 24, 1999 - November 5, 2004
METROPOLITAN LIFE INSURANCE COMPANY
March 24, 1999 - November 5, 2004
MSI FINANCIAL SERVICES, INC.
August 21, 1996 - December 12, 1997
CHASE INVESTMENT SERVICES CORP.
February 1, 1995 - August 21, 1996
FISERV INVESTOR SERVICES, INC.
April 4, 1989 - February 8, 1995
METROPOLITAN LIFE INSURANCE COMPANY
April 4, 1989 - February 8, 1995
MSI FINANCIAL SERVICES, 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
(4/17/2012)
(10/2/2020)
(3/1/2006)
(11/24/2004)
(10/17/2017)
Exams
FINRA
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 |
| 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 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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