Wesley C. Brown
Professional summary
Wesley C Brown, who also goes by Wesley Carroll Brown, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Daglas, Georgia.
Wesley is registered as a RR (Registered Representative) and started their career in finance in 1996. Wesley has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Wesley C Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 25, 2009 - Present
NYLIFE SECURITIES LLC
Office #1: 828 East Ward St, Daglas, GA 31533June 21, 2006 - January 16, 2008
CAPITAL FINANCIAL SERVICES, INC.
April 19, 2004 - December 31, 2005
PRINCIPAL SECURITIES, INC.
April 10, 2003 - February 26, 2004
WALNUT STREET SECURITIES, INC.
May 10, 1996 - November 20, 2002
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/24/2021)
(9/25/2009)
(1/25/2019)
Exams
FINRA
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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Company Information
NYLIFE SECURITIES LLC
CRD#: 5167Daglas, GA 31533TRUST BUT VERIFY
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