Joseph J. Wiffler
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.
Joseph J Wiffler, who also goes by Jerry Wiffler III, Joseph Jerome Wiffler III, Joseph Jerome Wiffler, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6, Series 10, Series 9, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2021 - July 19, 2022
NYLIFE SECURITIES LLC
October 25, 2013 - January 11, 2019
CITIGROUP GLOBAL MARKETS INC.
October 25, 2013 - January 11, 2019
CITIGROUP GLOBAL MARKETS INC.
October 2, 2006 - April 10, 2012
HSBC SECURITIES (USA) INC.
September 27, 2006 - April 10, 2012
HSBC SECURITIES (USA) INC.
January 5, 1999 - September 8, 2006
CHASE INVESTMENT SERVICES CORP.
September 18, 1996 - September 8, 2006
CHASE INVESTMENT SERVICES CORP.
March 1, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
March 17, 1995 - January 25, 1996
ESSEX NATIONAL SECURITIES, LLC
January 14, 1994 - March 20, 1995
METROPOLITAN LIFE INSURANCE COMPANY
January 14, 1994 - March 20, 1995
MSI 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
