Roberta M. Krause
Professional summary
Roberta Michaela Krause, who also goes by Roberta M Krause, Robin Krause, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Cleveland, Ohio.
Roberta is registered as a RR (Registered Representative) and started their career in finance in 2002. Roberta has worked at 5 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roberta Michaela Krause's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 2013 - Present
NYLIFE SECURITIES LLC
Office #1: 200 Public Square Suite 500, Cleveland, OH 44114June 14, 2010 - October 18, 2013
NYLIFE DISTRIBUTORS LLC
August 28, 2007 - September 17, 2009
CABRERA CAPITAL MARKETS, LLC
July 19, 2007 - August 30, 2007
WELLS FARGO CLEARING SERVICES, LLC
November 4, 2004 - July 16, 2007
CABRERA CAPITAL MARKETS, LLC
May 14, 2002 - November 3, 2004
KEYBANC CAPITAL MARKETS 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
(12/23/2013)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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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