Stephen D. Cook
Professional summary
Stephen Dudley Cook, CFP®, who also goes by Stephen Dudley Cook, Stephen Cook, Steve D Cook, Steve Cook, is a registered financial professional currently at NYLIFE SECURITIES LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 13 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Dudley Cook's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1993
Experience
November 20, 2023 - Present
NYLIFE SECURITIES LLC
Office #1: 420 Lexington Avenue 14th & 15th Floor, New York, NY 10170August 29, 2017 - October 30, 2018
WELLS FARGO CLEARING SERVICES, LLC
November 7, 2016 - June 30, 2017
AVANTAX INVESTMENT SERVICES, INC.
May 24, 2016 - November 15, 2016
AVANTAX ADVISORY SERVICES
January 31, 2012 - March 26, 2012
NATIONWIDE SECURITIES, LLC
November 22, 2005 - May 31, 2007
ALLSTATE FINANCIAL SERVICES, LLC
September 23, 2003 - December 31, 2003
CADARET, GRANT & CO., INC.
September 25, 2001 - September 8, 2003
AVANTAX INVESTMENT SERVICES, INC.
July 14, 1999 - September 27, 2001
DAVENPORT & COMPANY LLC
August 28, 1998 - July 19, 1999
AVANTAX INVESTMENT SERVICES, INC.
October 29, 1996 - September 4, 1998
MUTUAL OF AMERICA SECURITIES LLC
May 4, 1994 - September 4, 1998
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
February 8, 1993 - June 9, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 8, 1993 - June 9, 1994
SIGNATOR INVESTORS, INC.
November 10, 1992 - February 22, 1993
MUTUAL OF OMAHA INVESTOR SERVICES, 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 6TO
Date: 11/20/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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
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