Reginald M. Petit
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.
Reginald Michael Petit was a registered financial professional .
Reginald is a previously registered financial professional and started their career in finance in 1993. Reginald had worked at 12 firms and has passed the Series 63 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
September 21, 2004 - December 19, 2005
NYLIFE SECURITIES LLC
November 4, 2002 - November 5, 2002
NYLIFE DISTRIBUTORS LLC
November 18, 1998 - June 1, 1999
CONTINENTAL BROKER-DEALER CORP.
September 28, 1998 - October 19, 1998
THE THERMOPYLAE GROUP, INC.
October 14, 1996 - September 4, 1998
INSTITUTIONAL EQUITY CORPORATION
May 2, 1996 - August 12, 1996
LANDMARK INTERNATIONAL EQUITIES
July 7, 1995 - February 12, 1996
COMMONWEALTH ASSOCIATES
February 27, 1995 - July 6, 1995
FAB SECURITIES OF AMERICA, INC.
August 19, 1994 - March 21, 1995
PARAMOUNT INVESTMENTS INTERNATIONAL, INC.
May 31, 1994 - June 15, 1994
H.J. MEYERS & CO., INC.
April 15, 1994 - August 16, 1994
BEACON SECURITIES, INC.
June 17, 1993 - April 6, 1994
KENSINGTON WELLS INCORPORATED
April 8, 1993 - June 21, 1993
CONTINENTAL BROKER-DEALER CORP.
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 |
| 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.
