Dennis E. Koczara
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.
Dennis Edward Koczara was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1973. Dennis had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 1 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
May 5, 2015 - October 6, 2015
NYLIFE SECURITIES LLC
December 18, 2013 - December 10, 2014
WADDELL & REED
September 30, 2013 - December 10, 2014
WADDELL & REED
February 19, 2013 - October 4, 2013
NYLIFE SECURITIES LLC
April 15, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 15, 2003 - November 15, 2012
MSI FINANCIAL SERVICES, INC.
November 18, 1999 - February 28, 2003
METROPOLITAN LIFE INSURANCE COMPANY
November 18, 1999 - February 28, 2003
MSI FINANCIAL SERVICES, INC.
August 25, 1999 - November 3, 1999
WADDELL & REED
June 8, 1999 - July 1, 1999
FSC SECURITIES CORPORATION
April 24, 1973 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
April 24, 1973 - June 22, 1999
IDS LIFE INSURANCE COMPANY
April 24, 1973 - June 22, 1999
AMERIPRISE FINANCIAL SERVICES, 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
Exams
Series 1
Date: 4/18/1973
Registered Representative ExaminationCurrent 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.
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