Tonya L. Willis
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.
Tonya Lee Willis, who also goes by Tonya L Lee, Tonya Lashon Lee, Tonya Lee-willis, Tonya Lee Willis, Tonya Willis, was a registered financial professional .
Tonya is a previously registered financial professional and started their career in finance in 1992. Tonya had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 2025 - January 12, 2026
NYLIFE SECURITIES LLC
February 23, 2023 - June 5, 2025
J.P. MORGAN SECURITIES LLC
February 23, 2023 - June 5, 2025
J.P. MORGAN SECURITIES LLC
April 8, 2021 - December 9, 2022
TRIAD ADVISORS LLC
April 8, 2021 - December 9, 2022
SECURITIES AMERICA, INC.
April 16, 2018 - April 8, 2021
WOODBURY FINANCIAL SERVICES, INC.
April 16, 2018 - April 8, 2021
OSAIC SERVICES, INC.
April 16, 2018 - April 8, 2021
OSAIC WEALTH, INC.
April 16, 2018 - December 9, 2022
FSC SECURITIES CORPORATION
April 13, 2018 - December 9, 2022
WOODBURY FINANCIAL SERVICES, INC.
April 13, 2018 - December 9, 2022
OSAIC SERVICES, INC.
April 13, 2018 - December 9, 2022
OSAIC WEALTH, INC.
April 13, 2018 - December 9, 2022
FSC SECURITIES CORPORATION
September 9, 2016 - March 2, 2018
TRUIST ADVISORY SERVICES, INC.
July 31, 2012 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
April 3, 1996 - March 2, 2018
TRUIST INVESTMENT SERVICES, INC.
August 31, 1994 - March 8, 1996
BANK SOUTH INVESTMENT SERVICES, INC.
January 20, 1994 - September 8, 1994
BANK SOUTH SECURITIES CORPORATION
June 7, 1993 - January 17, 1994
NATIONSSECURITIES
January 1, 1993 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 8, 1992 - September 18, 1992
CHATFIELD DEAN & CO., 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
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 |
| 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 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| 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.
