Joseph M. Tobin
Professional summary
Joseph Michael Tobin JR, who also goes by Joseph Michael Tobin, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Cleveland, Ohio.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1990. Joseph has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Michael Tobin JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 22, 2022 - Present
NYLIFE SECURITIES LLC
Office #1: 200 Public Square Suite 500, Cleveland, OH 44114November 6, 2015 - November 19, 2020
MML INVESTORS SERVICES, LLC
October 8, 2013 - December 20, 2013
LPL FINANCIAL LLC
August 30, 2013 - December 10, 2013
STONEX SECURITIES INC.
February 12, 2001 - August 9, 2012
PRUCO SECURITIES, LLC.
March 8, 2000 - May 7, 2001
PRUDENTIAL EQUITY GROUP, LLC
May 11, 1990 - October 4, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 11, 1990 - October 4, 1990
EQUITABLE ADVISORS, 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
(6/22/2022)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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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