James R. Hill
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.
James Robert Hill, who also goes by Jim Hill, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1997. James had worked at 6 firms and has passed the Series 63, Series 65 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
May 27, 2011 - August 18, 2011
NYLIFE SECURITIES LLC
June 20, 2005 - October 19, 2005
SUNSET FINANCIAL SERVICES, INC.
March 17, 2005 - May 17, 2005
PRINCIPAL SECURITIES, INC.
October 18, 2004 - May 17, 2005
PRINCIPAL SECURITIES, INC.
May 10, 2004 - September 3, 2004
SUNSET FINANCIAL SERVICES, INC.
May 21, 2003 - May 7, 2004
WADDELL & REED
April 22, 2003 - May 7, 2004
WADDELL & REED
April 28, 1998 - December 4, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 28, 1998 - December 4, 1998
EQUITABLE ADVISORS, LLC
June 5, 1997 - November 11, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 5, 1997 - November 11, 1997
EQUITABLE ADVISORS, LLC
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
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
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.
