John D. Viglione

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Ft. Lauderdale, FL

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CRD#: 2786832

Professional summary

John Douglas Viglione is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Ft. Lauderdale, Florida and NYLIFE DISTRIBUTORS LLC located in Ridgewood, New Jersey.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Douglas Viglione's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 16, 2007 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

Ft. Lauderdale, FL

Current

March 12, 2001 - Present

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

Ridgewood, NJ

Past

February 16, 2007 - November 12, 2007

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

DULUTH, GA

Past

December 20, 2002 - March 29, 2005

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

April 21, 1997 - June 12, 1997

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

October 8, 1996 - April 18, 1997

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(4/20/2007)

Florida
(9/9/2014)

IAR

Florida
(6/26/2020)

IAR

Georgia
(11/16/2007)

Georgia
(2/27/2014)

Illinois
(11/7/2023)

Maryland
(10/6/2022)

New Hampshire
(11/7/2023)

New Jersey
(11/7/2023)

Ohio
(9/8/2022)

Puerto Rico
(9/9/2014)

Tennessee
(3/30/2011)

Texas
(11/7/2023)

Virgin Islands
(6/4/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/15/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/15/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/9/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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Contact information

Main Address

51 Madison Avenue, New York, NY 10010

Mailing Address

Phone number

(888) 474-7725

Established

Firm type

Fiscal year end

# of Employees

349

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,047
AUM (Assets Under Management)	$ 113,162,976,263

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.

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Firm Stability Insights

John D. Viglione

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Douglas Viglione's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE SECURITIES LLC

H.J. MEYERS & CO., INC.

INVESTORS ASSOCIATES, INC.

Primary Firm SEC Registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/15/2007

Series 63

Date: 11/15/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/3/2004

Series 6

Date: 3/9/2001

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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