Jeffrey D. Sternberg
Professional summary
Jeffrey Daniel Sternberg is a registered financial professional currently at NYLIFE SECURITIES LLC located in White Plains, New York.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1994. Jeffrey has worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Daniel Sternberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 28, 2005 - Present
NYLIFE SECURITIES LLC
Office #1: 44 South Broadway, White Plains, NY 10601September 15, 2004 - October 17, 2005
EQUITABLE ADVISORS, LLC
April 3, 2001 - March 22, 2004
SCHONFELD SECURITIES, LLC
January 22, 1997 - June 26, 1997
FIRST ASSET MANAGEMENT, INC.
May 17, 1996 - September 4, 1996
AMERICORP SECURITIES, INC.
January 25, 1996 - April 12, 1996
NATIONAL CLEARING CORP.
August 5, 1994 - December 22, 1995
INVESTORS ASSOCIATES, 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
(11/15/2005)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/23/2001
Limited Representative-Equity Trader ExamFINRA
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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