Thomas L. D'aquin
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.
Thomas Lloyd D'aquin, who also goes by Thomas Lloyd D'aquin Sr., Thomas Lloyd Daquin, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 31, Series 4 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
July 8, 2014 - January 9, 2015
NYLIFE SECURITIES LLC
February 28, 2013 - April 8, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 14, 2012 - February 1, 2013
CALTON & ASSOCIATES, INC.
August 14, 2012 - February 1, 2013
CALTON & ASSOCIATES, INC.
June 27, 2012 - August 27, 2012
MSI FINANCIAL SERVICES, INC.
March 21, 2012 - August 27, 2012
MSI FINANCIAL SERVICES, INC.
January 6, 2010 - April 22, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
December 21, 2009 - April 22, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
January 25, 2005 - February 1, 2007
ALLSTATE FINANCIAL SERVICES, LLC
May 7, 2003 - January 20, 2005
ALLSTATE FINANCIAL SERVICES, LLC
February 1, 2002 - March 26, 2003
MORGAN STANLEY DW INC.
July 13, 2001 - March 26, 2003
MORGAN STANLEY DW INC.
April 6, 2001 - July 18, 2001
WELLS FARGO INVESTMENTS, LLC
August 25, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
May 14, 1999 - August 14, 2000
KEYBANC CAPITAL MARKETS INC.
March 10, 1997 - May 14, 1999
KEY INVESTMENTS INC.
June 4, 1996 - March 10, 1997
PRUDENTIAL EQUITY GROUP, LLC
October 19, 1994 - June 10, 1996
MORGAN STANLEY DW INC.
June 28, 1993 - July 7, 1994
MONTANO SECURITIES CORPORATION
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
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