Thomas C. Smythe
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.
Thomas Charles Smythe was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
March 23, 2006 - June 7, 2017
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
March 23, 2006 - June 7, 2017
NYLIFE DISTRIBUTORS LLC
July 20, 2005 - December 2, 2005
AIM PRIVATE ASSET MANAGEMENT
November 9, 2004 - December 2, 2005
INVESCO DISTRIBUTORS, INC.
January 1, 1999 - November 5, 2004
GPC SECURITIES, INC.
December 8, 1992 - January 1, 1999
INVESCO DISTRIBUTORS, INC.
August 29, 1991 - October 21, 1991
AMERICAN FRONTEER FINANCIAL CORPORATION
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
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
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
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.
