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VS

Valeri L. Sewald

METLIFE INVESTMENTS SECURITIES
Whippany, NJ 07981-1449
Some features on this profile are disabled
CRD#: 2583374
VS

Professional summary

Valeri Lyne Sewald, who also goes by Valeri Lyne Thomas, is a registered financial professional currently at METLIFE INVESTMENTS SECURITIES, LLC located in Whippany, New Jersey.

Valeri is registered as a RR (Registered Representative) and started their career in finance in 1995. Valeri has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Valeri Lyne Thomas

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Valeri Lyne Sewald's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 6, 2023 - Present

METLIFE INVESTMENTS SECURITIES, LLC

Office #1: One Metlife Way, Whippany, NJ 07981-1449
BD
CRD#: 285684
Whippany, NJ
Past

September 1, 1998 - March 11, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 21, 1996 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

March 28, 1995 - July 7, 1995

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
Alabama
(3/7/2023)
RR
Alaska
(3/7/2023)
RR
Arizona
(3/7/2023)
RR
Arkansas
(3/7/2023)
RR
California
(3/7/2023)
RR
Colorado
(3/7/2023)
RR
Connecticut
(3/7/2023)
RR
Delaware
(3/7/2023)
RR
District of Columbia
(3/7/2023)
RR
Florida
(3/7/2023)
RR
Georgia
(3/7/2023)
RR
Hawaii
(3/7/2023)
RR
Idaho
(3/7/2023)
RR
Illinois
(3/7/2023)
RR
Indiana
(3/7/2023)
RR
Iowa
(3/7/2023)
RR
Kansas
(3/7/2023)
RR
Kentucky
(3/7/2023)
RR
Louisiana
(3/7/2023)
RR
Maine
(3/7/2023)
RR
Maryland
(3/7/2023)
RR
Massachusetts
(3/7/2023)
RR
Michigan
(3/7/2023)
RR
Minnesota
(3/7/2023)
RR
Mississippi
(3/7/2023)
RR
Missouri
(3/7/2023)
RR
Montana
(3/7/2023)
RR
Nebraska
(3/7/2023)
RR
Nevada
(3/7/2023)
RR
New Hampshire
(3/7/2023)
RR
New Jersey
(2/17/2023)
RR
New Mexico
(3/7/2023)
RR
New York
(3/7/2023)
RR
North Carolina
(3/7/2023)
RR
North Dakota
(3/7/2023)
RR
Ohio
(3/7/2023)
RR
Oklahoma
(3/7/2023)
RR
Oregon
(3/7/2023)
RR
Pennsylvania
(3/7/2023)
RR
Rhode Island
(3/7/2023)
RR
South Carolina
(3/7/2023)
RR
South Dakota
(3/7/2023)
RR
Tennessee
(3/7/2023)
RR
Texas
(3/7/2023)
RR
Utah
(3/7/2023)
RR
Vermont
(3/7/2023)
RR
Virginia
(3/7/2023)
RR
Washington
(3/7/2023)
RR
West Virginia
(3/7/2023)
RR
Wisconsin
(3/7/2023)
RR
Wyoming
(3/7/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 2/17/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/6/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/27/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/27/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MI
METLIFE INVESTMENTS SECURITIES, LLC
METLIFE INVESTMENTS SECURITIES, LLC

CRD#: 285684 / SEC#: , 8-69857

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
One Metlife Way, Whippany, NJ 07981-1449
Mailing Address
One Metlife Way, Whippany, NJ 07981-1449
Phone number
(973) 355-4000
Established
Delaware since 08/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
METLIFE INVESTORS GROUP, LLCSOLE MEMBER
HICKMAN, FRANK IIICHIEF COMPLIANCE OFFICER5056648
POLLARO, JOSEPH PATRICKPRESIDENT/CEO1910072
SERAFIN, ROBERT HPRINCIPAL OPERATIONS OFFICER2427123
YICK, MICHAEL JOHNCFO/FINOP & PRINCIPAL FINANCIAL OFFICER4187342

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.

Company Information

METLIFE INVESTMENTS SECURITIES, LLC

CRD#: 285684Whippany, NJ 07981-1449

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