Michael S. Hutchison
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.
Michael Scott Hutchison, who also goes by Michael S Hutchison, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 25 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
January 7, 2020 - April 2, 2020
NYLIFE SECURITIES LLC
September 5, 2017 - January 11, 2018
KLR GROUP, LLC
March 14, 2017 - September 6, 2017
D.H. HILL SECURITIES, LLLP
March 3, 2016 - September 9, 2016
INTL FCSTONE CREDIT TRADING LLC
February 26, 2016 - March 11, 2016
PIPER SANDLER & CO.
July 3, 2003 - February 26, 2016
SIMMONS & COMPANY INTERNATIONAL
July 2, 2002 - February 26, 2003
JOHN N. SEIP & CO., INC.
February 19, 1998 - April 8, 1998
BROADCORT CAPITAL CORP.
August 19, 1997 - July 2, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 5/28/2002
Limited Representative-Equity Trader ExamSeries 25
Date: 5/20/1999
NYSE Trading Assistant ExaminationCurrent 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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