Nathan J. Smith
Professional summary
Nathan James Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nathan is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Nathan had worked at 10 firms, which includes NYLIFE SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., CHEMICAL INVESTMENT SERVICES CORP., DIME SECURITIES INC., ESSEX NATIONAL SECURITIES LLC, PRUCO SECURITIES LLC., SEI INVESTMENTS DISTRIBUTION CO., USLIFE EQUITY SALES CORP., ROBERT W. BAIRD & CO. INCORPORATED, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 1997 - October 8, 1999
NYLIFE SECURITIES LLC
September 18, 1996 - March 4, 1997
CHASE INVESTMENT SERVICES CORP.
August 27, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
January 22, 1996 - August 27, 1996
DIME SECURITIES, INC.
March 21, 1995 - January 31, 1996
ESSEX NATIONAL SECURITIES, LLC
February 3, 1995 - March 14, 1995
PRUCO SECURITIES, LLC.
September 23, 1992 - January 7, 1994
SEI INVESTMENTS DISTRIBUTION CO.
March 4, 1992 - September 4, 1992
USLIFE EQUITY SALES CORP.
October 20, 1989 - March 6, 1991
ROBERT W. BAIRD & CO. INCORPORATED
August 14, 1989 - March 6, 1991
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
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