Stephen D. Cook
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.
Stephen Dudley Cook, CFP®, who also goes by Stephen Dudley Cook, Stephen Cook, Steve D Cook, Steve Cook, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 13 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 6 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1993
Experience
November 20, 2023 - June 6, 2026
NYLIFE SECURITIES LLC
August 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 ExaminationCurrent 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.
