Derek Kushida
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.
Derek Kushida, who also goes by Dariusz Dembowski, was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 1996. Derek had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 26, 2016 - May 12, 2023
NYLIFE SECURITIES LLC
February 12, 2016 - March 9, 2016
PRUCO SECURITIES, LLC.
December 3, 2012 - February 19, 2014
SANTANDER SECURITIES LLC
October 18, 2012 - February 19, 2014
SANTANDER SECURITIES LLC
November 13, 2007 - December 1, 2010
UBS FINANCIAL SERVICES INC.
June 21, 2004 - December 1, 2010
UBS FINANCIAL SERVICES INC.
May 10, 2004 - June 22, 2004
FRED ALGER & COMPANY, LLC
July 23, 2002 - March 10, 2003
MURIEL SIEBERT & CO., LLC
November 19, 1999 - January 4, 2002
ELECTRONIC TRADING GROUP, LLC
July 29, 1999 - November 24, 1999
CITIGROUP GLOBAL MARKETS INC.
July 28, 1997 - January 7, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 28, 1997 - January 11, 1999
EQUITABLE ADVISORS, LLC
April 28, 1997 - June 11, 1997
STUART, COLEMAN & CO., INC.
January 7, 1997 - October 15, 1997
WINDSOR STREET CAPITAL, LP
August 5, 1996 - October 15, 1997
WINDSOR STREET CAPITAL, LP
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 55
Date: 12/8/1999
Limited Representative-Equity Trader ExamCurrent 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.
