Hamid R. Sebghati
Professional summary
Hamid Reza Sebghati, who also goes by H R Sebghati, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Edina, Minnesota.
Hamid is registered as a RR (Registered Representative) and started their career in finance in 1989. Hamid has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Hamid Reza Sebghati's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 20, 2008 - Present
NYLIFE SECURITIES LLC
Office #1: 3600 Minnesota Drive Suite 100, Edina, MN 55435October 26, 1992 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
October 26, 1992 - March 10, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 6, 1992 - October 15, 1992
MML INVESTORS SERVICES, LLC
May 26, 1989 - December 15, 1990
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/24/2024)
(4/15/2015)
(6/3/2015)
(5/9/2008)
(2/24/2011)
(3/20/2008)
(11/17/2016)
(11/1/2024)
(2/10/2014)
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 |
| 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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