Joan P. Ruffini
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.
Joan Patricia Ruffini, who also goes by Joan Ruffini, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1994. Joan had worked at 8 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2022 - October 25, 2025
NYLIFE SECURITIES LLC
October 7, 2021 - November 5, 2021
ERNST & YOUNG INVESTMENT ADVISERS LLP
October 7, 2019 - December 10, 2020
LPL FINANCIAL LLC
October 7, 2019 - December 10, 2020
LPL FINANCIAL LLC
October 30, 2017 - June 6, 2018
J.P. MORGAN SECURITIES LLC
October 30, 2017 - June 6, 2018
J.P. MORGAN SECURITIES LLC
March 25, 2017 - October 2, 2017
MML INVESTORS SERVICES, LLC
March 25, 2017 - October 2, 2017
MML INVESTORS SERVICES, LLC
November 12, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
July 21, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
July 20, 2006 - April 4, 2008
FROST BROKERAGE SERVICES, INC.
February 16, 1994 - December 16, 2005
USAA INVESTMENT SERVICES 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: 3/13/2022
General Securities Representative ExaminationCurrent 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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