Bruce E. Weiner
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.
Bruce E Weiner was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1996. Bruce had worked at 12 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2023 - April 21, 2025
NYLIFE SECURITIES LLC
August 3, 2017 - October 20, 2020
PFS INVESTMENTS INC.
February 12, 2016 - March 20, 2017
SECURITIES AMERICA, INC.
October 2, 2013 - October 31, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 15, 2010 - May 23, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 20, 2008 - December 16, 2008
QUESTAR CAPITAL CORPORATION
March 29, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 29, 2005 - March 3, 2008
MSI FINANCIAL SERVICES, INC.
March 19, 2004 - June 15, 2004
COUNTRYWIDE INVESTMENT SERVICES, INC.
May 1, 2002 - November 11, 2003
WAMU INVESTMENTS, INC.
January 31, 2001 - May 1, 2002
DIME SECURITIES, INC.
April 27, 2000 - January 30, 2001
ESSEX NATIONAL SECURITIES, LLC
June 7, 1999 - April 14, 2000
FISERV INVESTOR SERVICES, INC.
April 22, 1996 - May 26, 1999
METROPOLITAN LIFE INSURANCE COMPANY
April 22, 1996 - May 26, 1999
MSI FINANCIAL SERVICES, INC.
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 6TO
Date: 4/17/2023
Investment Company Products/Variable Contracts 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
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