Alphonso W. Leblanc
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.
Alphonso William Leblanc, who also goes by Alphonso W Leblanc, Alphonso Leblanc, was a registered financial professional .
Alphonso is a previously registered financial professional and started their career in finance in 1994. Alphonso had worked at 17 firms and has passed the Series 63, SIE, Series 7, Series 53 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
March 18, 2016 - October 5, 2016
NYLIFE SECURITIES LLC
February 25, 2015 - October 21, 2015
BLACKBOOK CAPITAL, LLC
July 30, 2013 - October 10, 2013
NEWPORT COAST SECURITIES, INC.
January 22, 2013 - July 19, 2013
U.S. FINANCIAL INVESTMENTS, INC.
June 1, 2010 - June 2, 2011
WINDSOR STREET CAPITAL, LP
September 25, 2009 - June 1, 2010
GARDNER RICH, L.L.C.
March 19, 2009 - July 23, 2009
WILMINGTON CAPITAL SECURITIES, LLC
October 22, 2008 - March 26, 2009
NEWOAK CAPITAL MARKETS LLC
August 5, 2008 - August 26, 2008
JOHN THOMAS FINANCIAL
July 24, 2008 - August 6, 2008
JESUP & LAMONT SECURITIES CORP
April 9, 2008 - July 24, 2008
EMPIRE FINANCIAL GROUP, INC.
December 13, 2007 - April 30, 2008
JESUP & LAMONT SECURITIES CORP
July 11, 2006 - February 7, 2007
WINDSOR STREET CAPITAL, LP
May 31, 2005 - July 10, 2006
SPARTAN SECURITIES GROUP, LTD.
October 29, 1998 - May 28, 2004
EMPIRE FINANCIAL GROUP, INC.
November 24, 1997 - June 22, 1998
WHITEHALL WELLINGTON INVESTMENTS, INC.
September 9, 1997 - November 10, 1997
LABRANCHE FINANCIAL SERVICES, LLC
June 5, 1997 - July 28, 1997
DALTON KENT SECURITIES GROUP, INC.
February 25, 1997 - June 5, 1997
WINDSOR STREET CAPITAL, LP
April 22, 1996 - February 6, 1997
DUKE & CO., INC.
January 1, 1994 - April 8, 1996
CITIGROUP GLOBAL MARKETS 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.
