James S. Smiles
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.
James Samuel Smiles, who also goes by Jamie Smiles, James Samuel Smiles, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 14 firms and has passed the Series 66, Series 63, SIE 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
December 15, 2020 - December 19, 2024
NYLIFE SECURITIES LLC
February 20, 2019 - April 8, 2020
HARRISDIRECT LLC
December 20, 2018 - April 8, 2020
E*TRADE SECURITIES LLC
March 26, 2018 - December 19, 2018
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
June 20, 2017 - January 12, 2018
PENSERRA SECURITIES, LLC
January 2, 2013 - January 10, 2017
BB&T SECURITIES, LLC
August 16, 2012 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
June 21, 2010 - January 13, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 3, 2009 - December 9, 2009
SANDLER, O'NEILL & PARTNERS, L.P.
February 28, 2006 - May 30, 2007
NATWEST MARKETS SECURITIES INC.
March 6, 2002 - April 9, 2003
CUTWATER ASSET MANAGEMENT
June 29, 1998 - November 23, 1998
UBS SECURITIES LLC
July 20, 1995 - June 29, 1998
SBC WARBURG DILLON READ INC.
May 30, 1994 - November 28, 1994
SBC WARBURG DILLON READ INC.
May 9, 1991 - January 31, 1994
EXPANSION CAPITAL 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
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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