John M. Dolan
Professional summary
John Michael Dolan, who also goes by John M Dolan, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Midland Park, New Jersey and NYLIFE DISTRIBUTORS LLC located in Hingham, Massachusetts.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. John has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Michael Dolan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2015 - Present
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
April 15, 2015 - Present
NYLIFE DISTRIBUTORS LLC
August 26, 2013 - April 17, 2015
ALPS DISTRIBUTORS, INC.
January 3, 2012 - August 20, 2013
BLACKROCK INVESTMENTS, LLC
January 28, 2010 - August 20, 2013
BLACKROCK FUND ADVISORS
January 28, 2010 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
April 15, 2009 - January 11, 2010
CHASE INVESTMENT SERVICES CORP.
April 15, 2009 - January 11, 2010
CHASE INVESTMENT SERVICES CORP.
September 20, 2005 - March 19, 2009
LORD, ABBETT & CO. LLC
June 7, 2005 - March 19, 2009
LORD ABBETT DISTRIBUTOR LLC
March 18, 1997 - March 11, 2005
UBS FINANCIAL SERVICES INC.
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
(5/31/2018)
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(7/14/2016)
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(4/15/2015)
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(4/15/2015)
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(7/14/2016)
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(5/31/2018)
(7/14/2016)
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(4/15/2015)
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(4/17/2015)
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(6/1/2018)
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(4/15/2015)
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(7/14/2016)
(5/31/2018)
(5/31/2018)
(4/15/2015)
(4/15/2015)
(5/31/2018)
(4/15/2015)
(5/31/2018)
(5/31/2018)
Exams
FINRA
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
