Victor Seneca
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.
Victor Seneca, who also goes by Igor Tsiperfal, was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1991. Victor had worked at 12 firms and has passed the Series 63, SIE, Series 6 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
September 17, 2014 - October 15, 2014
NYLIFE SECURITIES LLC
August 6, 2012 - October 4, 2012
ALLSTATE FINANCIAL SERVICES, LLC
November 30, 2001 - December 17, 2002
CONTINENTAL BROKER-DEALER CORP.
February 14, 2000 - December 6, 2001
CITIGROUP GLOBAL MARKETS INC.
March 4, 1996 - February 14, 2000
AMFIN INVESTMENT SERVICES, INC.
August 11, 1995 - September 27, 1995
LEHWALD, OROSEY & PEPE INCORPORATED
May 18, 1995 - August 9, 1995
JOSEPH CHARLES & ASSOC., INC.
November 23, 1994 - May 17, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 1, 1993 - October 4, 1994
FIDELITY BROKERAGE SERVICES LLC
October 22, 1991 - October 15, 1992
AMERICAN EXPRESS SERVICE CORPORATION
February 25, 1991 - April 3, 1993
IDS LIFE INSURANCE COMPANY
February 25, 1991 - April 3, 1993
AMERIPRISE FINANCIAL SERVICES, 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
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
