Stephen B. Kingsley

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

South Lyon, MI

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CRD#: 2452674

Professional summary

Stephen B Kingsley, who also goes by Stephen Bruce Kingsley, Steve Kingsley, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in South Lyon, Michigan and NYLIFE DISTRIBUTORS LLC located in Tulsa, Oklahoma.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Stephen has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Bruce Kingsley | Steve Kingsley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen B Kingsley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 23, 2024 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

South Lyon, MI

Current

January 23, 2024 - Present

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

Tulsa, OK

Past

March 2, 2023 - January 19, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Ann Arbor, MI

Past

March 2, 2023 - January 19, 2024

MORGAN STANLEY

CRD#: 149777

Ann Arbor, MI

Past

June 24, 2022 - September 15, 2022

S2K FINANCIAL LLC

CRD#: 248786

ORLANDO, FL

Past

March 1, 2021 - June 27, 2022

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

February 27, 2019 - October 15, 2020

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

SAN MATEO, CA

Past

April 4, 2018 - October 13, 2020

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

January 26, 2017 - March 1, 2018

LOCORR DISTRIBUTORS, LLC

CRD#: 41782

EXCELSIOR, MN

Past

October 8, 2014 - January 5, 2017

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA

CRD#: 107105

CHICAGO, IL

Past

May 4, 2011 - January 5, 2017

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

CHICAGO, IL

Past

October 25, 2000 - April 18, 2011

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

July 20, 1999 - October 10, 2000

COHEN & STEERS SECURITIES, LLC

CRD#: 29258

NEW YORK, NY

Past

April 17, 1998 - June 25, 1999

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

April 23, 1996 - February 11, 1997

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

May 2, 1994 - February 2, 1996

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

May 2, 1994 - February 2, 1996

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Indiana
(1/23/2024)

Kentucky
(1/23/2024)

Michigan
(1/23/2024)

IAR

Michigan
(1/23/2024)

North Carolina
(1/23/2024)

Ohio
(6/10/2025)

Tennessee
(1/23/2024)

West Virginia
(1/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/25/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/11/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/29/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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Contact information

Main Address

51 Madison Avenue, New York, NY 10010

Mailing Address

Phone number

(888) 474-7725

Established

Firm type

Fiscal year end

# of Employees

349

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,047
AUM (Assets Under Management)	$ 113,162,976,263

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.

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Advisor Monitoring

Firm Stability Insights

Stephen B. Kingsley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen B Kingsley's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

MORGAN STANLEY

MORGAN STANLEY

S2K FINANCIAL LLC

AVANTAX INVESTMENT SERVICES, INC.

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

LOCORR DISTRIBUTORS, LLC

BLACKROCK FINANCIAL MANAGEMENT, INC

BLACKROCK INVESTMENTS, LLC

MFS FUND DISTRIBUTORS, INC.

COHEN & STEERS SECURITIES, LLC

DWS DISTRIBUTORS, INC.

DWS DISTRIBUTORS, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2022

Series 63

Date: 2/11/1994

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1998

Series 6

Date: 4/29/1994

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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