Raoul H. Corzo
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.
Raoul Humberto Corzo was a registered financial professional .
Raoul is a previously registered financial professional and started their career in finance in 1993. Raoul had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 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
October 1, 2015 - January 2, 2018
NYLIFE SECURITIES LLC
November 8, 2012 - June 12, 2013
AVALON INVESTMENT & SECURITIES GROUP, INC.
August 5, 2009 - October 8, 2010
INVESTMENT ADVISORS INTERNATIONAL, INC.
December 20, 2006 - August 9, 2007
INVESTMENT ADVISORS INTERNATIONAL, INC.
March 18, 2004 - December 31, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 20, 2004 - October 8, 2010
WORLD GROUP SECURITIES, INC.
July 6, 2000 - February 11, 2004
LIGHTHOUSE CAPITAL CORPORATION
June 17, 1999 - July 6, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 17, 1999 - July 6, 2000
OSAIC FA, INC.
December 15, 1994 - June 1, 1999
WMA SECURITIES, INC.
November 18, 1993 - November 11, 1994
PFS INVESTMENTS 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 |
| 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.
