Gary R. Bashaw
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.
Gary Roger Bashaw, who also goes by Gary R Bashaw, Gary R. Bashaw, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1999. Gary had worked at 11 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2012 - October 11, 2013
NYLIFE SECURITIES LLC
August 3, 2011 - October 21, 2011
ALLSTATE FINANCIAL SERVICES, LLC
April 12, 2011 - July 22, 2011
QUEST CAPITAL STRATEGIES, INC.
January 28, 2009 - October 22, 2009
FORESTERS EQUITY SERVICES, INC.
February 27, 2007 - December 31, 2008
VOYA FINANCIAL ADVISORS, INC.
September 25, 2006 - November 17, 2006
MORGAN PEABODY, INC.
February 4, 2005 - September 26, 2006
QUEST CAPITAL STRATEGIES, INC.
April 13, 2004 - November 2, 2004
INTERVEST INTERNATIONAL EQUITIES CORPORATION
February 6, 2004 - April 1, 2004
NSA SECURITIES CORPORATION
May 7, 2002 - January 15, 2004
INTERVEST INTERNATIONAL EQUITIES CORPORATION
October 23, 2000 - May 9, 2002
USALLIANZ SECURITIES, INC.
December 17, 1999 - December 20, 1999
INVESTORS CAPITAL CORP.
December 17, 1999 - September 28, 2000
WOODBURY FINANCIAL SERVICES, 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.
