Jeffrey T. Fahlman
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.
Jeffrey Todd Fahlman, who also goes by Jeff Fahlman, Jeffrey Fahlman, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1999. Jeffrey had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2019 - January 3, 2023
NYLIFE SECURITIES LLC
February 27, 2015 - July 8, 2019
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
February 25, 2014 - July 8, 2019
NYLIFE DISTRIBUTORS LLC
February 19, 2014 - February 27, 2015
EAGLE STRATEGIES LLC
June 10, 2011 - November 29, 2012
PNC WEALTH MANAGEMENT LLC
June 7, 2011 - November 29, 2012
PNC WEALTH MANAGEMENT LLC
June 19, 2009 - July 27, 2009
NYLIFE SECURITIES LLC
March 1, 2007 - November 4, 2008
CHARLES SCHWAB & CO., INC.
August 8, 2000 - November 4, 2008
CHARLES SCHWAB & CO., INC.
February 8, 2000 - September 21, 2000
IDS LIFE INSURANCE COMPANY
February 8, 2000 - September 21, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
March 15, 1999 - November 1, 1999
PRUCO SECURITIES, 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
Series 15
Date: 11/6/1997
Foreign Currency Options 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
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.
