Steven A. Mullaney
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.
Steven Albert Mullaney, who also goes by Steven A Mullaney, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 9 firms and has passed the Series 66, Series 63, 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
September 9, 2014 - December 10, 2014
NYLIFE SECURITIES LLC
May 2, 2013 - February 26, 2014
NATIONWIDE SECURITIES, LLC
April 27, 2011 - December 23, 2011
LIGHTHOUSE CAPITAL CORPORATION
April 26, 2011 - December 23, 2011
LIGHTHOUSE CAPITAL CORPORATION
August 26, 2008 - May 26, 2009
GUARDIAN INVESTOR SERVICES LLC
June 28, 2006 - July 2, 2008
MANULIFE INVESTMENT MANAGEMENT (US) LLC
June 28, 2006 - July 2, 2008
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
June 21, 2006 - July 2, 2008
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
October 19, 2004 - July 7, 2006
UBS FINANCIAL SERVICES INC.
December 22, 1997 - July 7, 2006
UBS FINANCIAL SERVICES INC.
November 30, 1994 - January 15, 1997
AMUNDI DISTRIBUTOR US, 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
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
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.
