James D. Amrhein
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.
James Douglas Amrhein was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2018 - August 2, 2018
NYLIFE SECURITIES LLC
January 22, 2015 - July 22, 2016
CETERA INVESTMENT ADVISERS LLC
January 12, 2015 - July 22, 2016
CETERA INVESTMENT SERVICES LLC
December 10, 2013 - January 12, 2015
VALIC FINANCIAL ADVISORS, INC.
November 11, 2013 - January 12, 2015
VALIC FINANCIAL ADVISORS, INC.
February 15, 2013 - July 12, 2013
SECURIAN FINANCIAL SERVICES, INC.
February 14, 2013 - July 12, 2013
SECURIAN FINANCIAL SERVICES, INC.
February 21, 2012 - November 8, 2012
PRINCIPAL SECURITIES, INC.
February 16, 2012 - November 8, 2012
PRINCIPAL SECURITIES, INC.
June 22, 2010 - February 15, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
April 22, 2010 - February 15, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
June 26, 2009 - October 21, 2009
FIRST COMMAND BROKERAGE SERVICES, INC.
May 19, 2009 - October 21, 2009
FIRST COMMAND BROKERAGE SERVICES, INC.
October 4, 1994 - January 10, 1995
DIAMOND HILL SECURITIES, INC.
May 25, 1993 - October 3, 1994
PRUDENTIAL EQUITY GROUP, LLC
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.
