SS
Steven D. Shrout
NYLIFE DISTRIBUTORS LLC
Basking Ridge, NJ
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CRD#: 2475643
SS
Professional summary
Steven Douglas Shrout, who also goes by Steve Shrout, is a registered financial professional currently at NYLIFE DISTRIBUTORS LLC located in Basking Ridge, New Jersey.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 14 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve Shrout
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.
CRS (Client Relationship Summary) - BD
Click below to view Steven Douglas Shrout's 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®
NoneExperience
Current
April 15, 2019 - Present
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
Basking Ridge, NJ
Past
June 16, 2016 - March 29, 2019
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
April 1, 2006 - May 31, 2016
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
SPRING GREEN, WI
Past
June 2, 2004 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
November 14, 2003 - April 2, 2004
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
March 21, 2003 - November 14, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
March 21, 2003 - November 15, 2003
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
February 1, 2001 - February 7, 2003
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
COLUMBUS, OH
Past
September 21, 1998 - December 31, 2000
VICTORY CAPITAL SERVICES, INC.
BD
CRD#: 37059
BROOKLYN, OH
Past
March 7, 1998 - July 31, 1998
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
July 26, 1995 - December 12, 1997
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
August 22, 1994 - July 5, 1995
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
August 8, 1994 - August 19, 1994
WESTFIELD FINANCIAL CORPORATION
BD
CRD#: 8143
NEW YORK, NY
Past
April 29, 1994 - September 15, 1994
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Indiana(4/15/2019)
RR
Michigan(4/15/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ND
NYLIFE DISTRIBUTORS LLC
NEW YORK LIFE INVESTMENT MANAGEMENT LLC | NYLIFE DISTRIBUTORS LLC | NYLIFE DISTRIBUTORS INC.
CRD#: 35350 / SEC#: , 8-46655
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
30 Hudson Street, Jersey City, NJ 07302
Mailing Address
30 Hudson Street 22nd Floor, Jersey City, NJ 07302
Phone number
(201) 685-6220
Established
Delaware since 10/31/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC. | SHAREHOLDER - 100%-MEMBER | |
| AKKERMAN, JOHN WILLIAM | SENIOR MANAGING DIRECTOR, NYL INVESTMENTS INSTITUTIONAL SALES-ELECTED OFFICER | 2780712 |
| ANDREOLA, MICHAEL JOSEPH | DIRECTOR, COMPLIANCE AND SALES MATERIAL REVIEW - ELECTED OFFICER | 4302689 |
| BAIN, KAREN ANN | MANAGING DIRECTOR, TAX-ELECTED OFFICER | 6160313 |
| BARROS, JOSE NEPTALI JR | CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR-ELECTED OFFICER | 3118930 |
| BENINTENDE, JACK ROBERT JR. | MANAGING DIRECTOR, INDEX IQ - ELECTED OFFICER | 7714943 |
| CRUZ, DAVID NMN | SENIOR MANAGING DIRECTOR, INSTITUTIONAL LIFE-ELECTED OFFICER | 2560569 |
| GAMBLE, MICHAEL ADAM | MANAGING DIRECTOR, INSTITUTIONAL LIFE-ELECTED OFFICER | 7536233 |
| GOLDSTEIN, ANDREW PHILLIP | MANAGING DIRECTOR, FIELD OPERATIONS VALUE STREAM AGENCY WHOLESALE-ELECTED OFFICER | 5103842 |
| HANSEN, MARTA SOFIA | DIRECTOR(OFFICER), CFO, FINOP, TREASURER, PRINCIPAL OPS OFFICER-ELECTED OFFICER | 4899589 |
| HARTE, FRANCIS MICHAEL | SENIOR MANAGING DIRECTOR-ELECTED OFFICER | 1976402 |
| HOWARD, LINDA MARIE | DIRECTOR AND CHIEF COMPLIANCE OFFICER, AML OFFICER AND OFFICE OF FOREIGN ASSETS CONTROL OFFICER-ELECTED OFFICER | 2822341 |
| LEHNEIS, KIRK CHRISTOPHER | SENIOR MANAGING DIRECTOR, CHAIRMAN OF THE BOARD-ELECTED OFFICER | 6773807 |
| LONG, HARRY SCOTT | DIRECTOR, INSURANCE SOLUTIONS-RETAIL LIFE-ELECTED OFFICER | 2029580 |
| MEADE, COLLEEN ANNE | SECRETARY-ELECTED OFFICER | 5615089 |
| MICUCCI, ALISON HIERS | SENIOR MANAGING DIRECTOR, MACKAY SHIELDS INSTITUTIONAL SALES-ELECTED OFFICER | 2709298 |
| MILLAY, EDWARD PAUL | MANAGING DIRECTOR - ELECTED OFFICER | 7837443 |
| MISRA, MANALI SUDHIR | ASSISTANT GENERAL COUNSEL, ASSISTANT SECRETARY - ELECTED OFFICER | 8047340 |
| SABAL, CRAIG ANDREW | SENIOR MANAGING DIRECTOR, NYL INVESTORS INSTITUTIONAL SALES-ELECTED OFFICER | 4591702 |
| SHARRIER, ELIZABETH ANNE | ASSISTANT SECRETARY-ELECTED OFFICER | 2049186 |
| STRINGER, CHRISTOPHER RYAN | SENIOR MANAGING DIRECTOR, APOGEM CAPITAL INSTITUTIONAL SALES-ELECTED OFFICER | 5149663 |
| WICKWIRE, BRIAN DAVID | CHIEF OPERATING OFFICER, CONTROLLER, MANAGING DIRECTOR-ELECTED OFFICER | 4332103 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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