Nicole L. Price
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.
Nicole Lynnette Price, who also goes by Nicole L Price, Nicole Lynnette Price, Nicole Lynnette White, Nicole Price White, Nicole White, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 1996. Nicole had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2022 - March 10, 2023
NYLIFE SECURITIES LLC
March 10, 2022 - May 26, 2022
PARK AVENUE SECURITIES LLC
June 20, 2019 - November 11, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 20, 2019 - September 3, 2021
MUTUAL OF AMERICA SECURITIES LLC
December 15, 2017 - June 3, 2019
OSAIC SERVICES, INC.
March 25, 2017 - May 19, 2017
MML INVESTORS SERVICES, LLC
November 13, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
May 19, 2014 - September 26, 2014
MORGAN STANLEY
March 31, 2014 - April 30, 2014
MSI FINANCIAL SERVICES, INC.
November 9, 2012 - April 4, 2013
TRUIST INVESTMENT SERVICES, INC.
December 6, 2007 - October 18, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 20, 2005 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
February 19, 2003 - December 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 19, 2003 - December 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 7, 1996 - February 9, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
