TN
Thomas J. Nelson
NYLIFE SECURITIES LLC
New Hartford, NY 13413-5590
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CRD#: 2263522
TN
Professional summary
Thomas J Nelson, who also goes by Thomasj Nelson, is a registered financial professional currently at NYLIFE SECURITIES LLC located in New Hartford, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomasj Nelson
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.
[Insurance Brokering; appointed with outside carriers for the purpose of brokering non-registered insurance products; 9273 Kellogg Road, New Hartford, NY 13413; Commissions; 10 hours per month] [OPERATING UNDER THE DBA NAME OF NELSON & STRIFE FINANCIAL GROUP FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; Partner; New Hartford, NY; START DATE: 04/2017] [Utica College Investment Committee; volunteer; start date 02/2013] [Upper Mohawk Valley Regional Water Finance Authority; board member; non investment related; 1 Kennedy Plaza, Utica NY 13502; Start Date: 12/1/2010; 1 Hour per month] [UTICA INDUSTRIAL DEVELOPMENT CORP; officer; non investment related; start date 02/2004] [OPERATING UNDER THE DBA NAME OF CRYSTAL CLEAR FINANCIAL GROUP, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; NEW HARTFORD, NY; START DATE: 01/2021]
CRS (Client Relationship Summary) - BD
Click below to view Thomas J Nelson's 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®
NoneExperience
Current
December 10, 2002 - Present
NYLIFE SECURITIES LLC
Office #1: Nelson And Strife Fin Grp 9273 Kellogg Road, New Hartford, NY 13413-5590BD
CRD#: 5167
New Hartford, NY
Past
September 30, 2015 - November 27, 2023
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
NEW HARTFORD, NY
Past
August 18, 1992 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
August 18, 1992 - November 26, 2002
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
New Jersey(3/6/2014)
RR
New York(12/10/2002)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NYLIFE SECURITIES LLC
NEW YORK LIFE SECURITIES CORP. | NYLIFE SECURITIES LLC | NYLIFE SECURITIES INC. | NEW YORK LIFE VARIABLE CONTRACTS CORPORATION
CRD#: 5167 / SEC#: , 8-15517
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
51 Madison Ave. Room 713, New York, NY 10010
Mailing Address
51 Madison Avenue Room 713, New York, NY 10010
Phone number
(212) 576-7000
Established
Delaware since 01/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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
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.
