Stuart A. Kohn
Professional summary
Stuart A Kohn, who also goes by Stuart Kohn, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Melville, New York.
Stuart is registered as a RR (Registered Representative) and started their career in finance in 1993. Stuart has worked at 6 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stuart A Kohn's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 11, 2023 - Present
NYLIFE SECURITIES LLC
Office #1: 1660 Walt Whitman Road, Melville, NY 11747July 15, 2013 - April 6, 2015
PRINCIPAL SECURITIES, INC.
July 1, 1997 - January 29, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 1997 - June 16, 1997
KSH INVESTMENT GROUP, INC.
March 14, 1994 - January 22, 1997
CITIGROUP GLOBAL MARKETS INC.
November 16, 1993 - March 2, 1994
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/11/2024)
Exams
Series 6TO
Date: 9/10/2023
Investment Company Products/Variable Contracts 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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