Christopher L. Brown
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.
Christopher Lee Brown was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2015 - October 9, 2015
NYLIFE SECURITIES LLC
April 30, 2012 - April 9, 2013
PARK AVENUE SECURITIES LLC
October 1, 2010 - April 9, 2013
PARK AVENUE SECURITIES LLC
February 9, 2010 - May 28, 2010
TD WEALTH MANAGEMENT SERVICES INC.
June 20, 2008 - July 7, 2009
E*TRADE SECURITIES LLC
October 11, 2006 - February 28, 2007
TAFFERER TRADING, LLC
June 23, 2003 - October 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 2002 - October 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 1999 - July 31, 2001
BNY MELLON SECURITIES LLC
July 23, 1996 - September 11, 1997
D. H. BLAIR & CO., 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 55
Date: 3/1/2000
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.
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