Kenneth J. Parkinson

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

New York, NY 10010

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CRD#: 2137492

Professional summary

Kenneth Joseph Parkinson is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in New York, New York and NYLIFE DISTRIBUTORS LLC located in Jersey City, New Jersey.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Kenneth has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Joseph Parkinson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 28, 2004 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Office #1: 51 Madison Avenue, New York, NY 10010

RIA

CRD#: 109591

New York, NY

Current

April 2, 2004 - Present

NYLIFE DISTRIBUTORS LLC

Office #1: 30 Hudson Street, Jersey City, NJ 07302

CRD#: 35350

Jersey City, NJ

Past

April 16, 2012 - August 10, 2020

NYLIFE SECURITIES LLC

CRD#: 5167

PARSIPPANY, NJ

Past

August 7, 2003 - April 1, 2004

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

July 28, 2003 - April 1, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 3, 2000 - March 26, 2004

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 6, 2000 - April 1, 2004

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

September 28, 1999 - April 1, 2004

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

April 5, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

April 5, 1991 - July 27, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

New Jersey
(4/28/2004)

New York
(4/2/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/3/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/12/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/5/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/4/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/14/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 2/21/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 2/28/1995

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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Contact information

Main Address

51 Madison Avenue, New York, NY 10010

Mailing Address

Phone number

(888) 474-7725

Established

Firm type

Fiscal year end

# of Employees

349

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,047
AUM (Assets Under Management)	$ 113,162,976,263

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Kenneth J. Parkinson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Joseph Parkinson's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

NYLIFE SECURITIES LLC

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUCO SECURITIES, LLC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/3/2002

Series 63

Date: 11/12/2002

SIE

Date: 10/1/2018

Series 7

Date: 3/5/2008

Series 6

Date: 4/4/1991

Series 24

Date: 8/14/2008

Series 51

Date: 2/21/2003

Series 26

Date: 2/28/1995

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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