Eric M. Budin
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.
Eric Marsh Budin was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1990. Eric had worked at 10 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 6, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2015 - March 6, 2018
NYLIFE SECURITIES LLC
April 6, 2009 - June 22, 2010
MSI FINANCIAL SERVICES, INC.
February 4, 2008 - March 27, 2009
O'KEEFE SHAW & CO., INC.
June 25, 2007 - November 13, 2007
MORGAN STANLEY & CO. LLC
May 7, 2007 - November 13, 2007
MORGAN STANLEY & CO. LLC
March 7, 2002 - February 12, 2003
DORSEY & COMPANY, INC.
August 30, 1993 - September 5, 2000
CHARLES SCHWAB & CO., INC.
June 24, 1993 - September 14, 1993
WESTMORELAND CAPITAL CORPORATION
May 1, 1992 - April 2, 1993
KIDDER, PEABODY & CO. INCORPORATED
November 9, 1990 - April 30, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 8, 1990 - November 6, 1990
J. W. GANT & ASSOCIATES, 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
Exams
Series 8
Date: 6/23/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Check for any disclosures as part of your thorough research when choosing an advisor.
