James E. Mullooly
Professional summary
James E Mullooly, who also goes by James Edward Mullooly, Jim Mullooly, James E Mullooly, Mullooly, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Melville, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James E Mullooly's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2022 - Present
NYLIFE SECURITIES LLC
Office #1: 520 Broad Hollow Rd., Melville, NY 11747May 30, 2019 - November 1, 2019
FERRETTI GROUP, INC.
February 14, 2019 - June 4, 2019
DAG SECURITIES INC.
December 28, 2018 - March 27, 2019
BENJAMIN & JEROLD BROKERAGE I, LLC
February 24, 2015 - January 7, 2019
MCCAULEY SECURITIES, LTD.
June 17, 2011 - March 23, 2015
LEK SECURITIES CORPORATION
June 6, 2011 - February 25, 2015
W.J. BLUM & SONS, LLC
June 6, 2007 - June 6, 2011
THE GRISWOLD COMPANY, INCORPORATED
January 26, 2001 - June 15, 2007
JBS SECURITIES CORP.
October 1, 2000 - February 22, 2001
KEVIN G. BOYLE SECURITIES, INC.
August 7, 1996 - May 11, 2000
HAPOALIM SECURITIES USA, 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
(4/16/2023)
Exams
FINRA
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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