Maureen M. Mcfarland
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.
Maureen M Mcfarland, who also goes by Maureen Mcfarland, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1997. Maureen had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2011 - July 1, 2013
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
February 7, 2006 - January 3, 2011
MACKAY SHIELDS LLC
December 11, 2003 - September 28, 2005
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
November 13, 2003 - July 1, 2013
NYLIFE DISTRIBUTORS LLC
July 23, 1997 - November 13, 2003
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
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
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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