Alma M. Abrusley-faulkner
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.
Alma Marie Abrusley-faulkner, who also goes by Alma Marie Abrusley, Alma Marie Abrusleyfaulkner, Marie Faulkner, was a registered financial professional .
Alma is a previously registered financial professional and started their career in finance in 1996. Alma had worked at 14 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, Series 22TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2025 - April 11, 2025
NYLIFE SECURITIES LLC
July 25, 2024 - October 30, 2024
LPL FINANCIAL LLC
July 25, 2024 - October 30, 2024
LPL FINANCIAL LLC
June 29, 2023 - January 25, 2024
CWM, LLC
February 1, 2023 - January 22, 2024
CETERA WEALTH SERVICES, LLC
March 2, 2020 - August 14, 2020
COURTLANDT SECURITIES CORPORATION
February 24, 2017 - October 30, 2017
MORGAN STANLEY
January 27, 2017 - October 30, 2017
MORGAN STANLEY
February 22, 2006 - May 29, 2007
SCOTTRADE, INC.
May 18, 2004 - April 19, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
May 18, 2004 - April 19, 2005
IDS LIFE INSURANCE COMPANY
May 18, 2004 - April 19, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
June 21, 2001 - May 11, 2004
EDWARD JONES
October 6, 2000 - March 5, 2001
MORGAN STANLEY DW INC.
April 29, 1998 - October 10, 2000
UBS FINANCIAL SERVICES INC.
December 12, 1996 - May 9, 1997
METROPOLITAN LIFE INSURANCE COMPANY
December 12, 1996 - May 9, 1997
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 7TO
Date: 1/31/2023
General Securities Representative ExaminationSeries 22TO
Date: 2/29/2020
Direct Participation Programs 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
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