JC
John R. Craven
NYLIFE DISTRIBUTORS LLC
New York, NY 10010
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CRD#: 3154685
JC
Professional summary
John Richard Craven is a registered financial professional currently at NYLIFE DISTRIBUTORS LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view John Richard Craven's 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®
NoneExperience
Current
May 3, 2021 - Present
NYLIFE DISTRIBUTORS LLC
Office #1: 51 Madison Avenue, New York, NY 10010BD
CRD#: 35350
New York, NY
Past
October 1, 2020 - April 8, 2021
RFS PARTNERS
BD
CRD#: 18119
Denver, CO
Past
April 30, 2019 - September 30, 2020
ICON DISTRIBUTORS, INC.
BD
CRD#: 28568
GREENWOOD VILLAGE, CO
Past
June 10, 2016 - March 29, 2019
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
December 10, 2014 - June 2, 2016
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
NEWPORT BEACH, CA
Past
March 19, 2013 - December 12, 2014
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
February 17, 2009 - March 19, 2013
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
January 9, 2007 - December 15, 2008
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
HARTFORD, CT
Past
January 27, 2006 - January 8, 2007
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
LOS ANGELES, CA
Past
January 24, 2006 - January 8, 2007
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
LOS ANGELES, CA
Past
June 2, 2003 - January 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LOS ANGELES, CA
Past
June 2, 2003 - January 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 4, 2001 - May 27, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
LOS ANGELES, CA
Past
November 22, 2000 - May 27, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 18, 2000 - June 1, 2000
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
California(5/3/2021)
RR
Hawaii(5/3/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ND
NYLIFE DISTRIBUTORS LLC
NEW YORK LIFE INVESTMENT MANAGEMENT LLC | NYLIFE DISTRIBUTORS LLC | NYLIFE DISTRIBUTORS INC.
CRD#: 35350 / SEC#: , 8-46655
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
30 Hudson Street, Jersey City, NJ 07302
Mailing Address
30 Hudson Street 22nd Floor, Jersey City, NJ 07302
Phone number
(201) 685-6220
Established
Delaware since 10/31/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC. | SHAREHOLDER - 100%-MEMBER | |
| AKKERMAN, JOHN WILLIAM | SENIOR MANAGING DIRECTOR, NYL INVESTMENTS INSTITUTIONAL SALES-ELECTED OFFICER | 2780712 |
| ANDREOLA, MICHAEL JOSEPH | DIRECTOR, COMPLIANCE AND SALES MATERIAL REVIEW - ELECTED OFFICER | 4302689 |
| BAIN, KAREN ANN | MANAGING DIRECTOR, TAX-ELECTED OFFICER | 6160313 |
| BARROS, JOSE NEPTALI JR | CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR-ELECTED OFFICER | 3118930 |
| BENINTENDE, JACK ROBERT JR. | MANAGING DIRECTOR, INDEX IQ - ELECTED OFFICER | 7714943 |
| CRUZ, DAVID NMN | SENIOR MANAGING DIRECTOR, INSTITUTIONAL LIFE-ELECTED OFFICER | 2560569 |
| GAMBLE, MICHAEL ADAM | MANAGING DIRECTOR, INSTITUTIONAL LIFE-ELECTED OFFICER | 7536233 |
| GOLDSTEIN, ANDREW PHILLIP | MANAGING DIRECTOR, FIELD OPERATIONS VALUE STREAM AGENCY WHOLESALE-ELECTED OFFICER | 5103842 |
| HANSEN, MARTA SOFIA | DIRECTOR(OFFICER), CFO, FINOP, TREASURER, PRINCIPAL OPS OFFICER-ELECTED OFFICER | 4899589 |
| HARTE, FRANCIS MICHAEL | SENIOR MANAGING DIRECTOR-ELECTED OFFICER | 1976402 |
| HOWARD, LINDA MARIE | DIRECTOR AND CHIEF COMPLIANCE OFFICER, AML OFFICER AND OFFICE OF FOREIGN ASSETS CONTROL OFFICER-ELECTED OFFICER | 2822341 |
| LEHNEIS, KIRK CHRISTOPHER | SENIOR MANAGING DIRECTOR, CHAIRMAN OF THE BOARD-ELECTED OFFICER | 6773807 |
| LONG, HARRY SCOTT | DIRECTOR, INSURANCE SOLUTIONS-RETAIL LIFE-ELECTED OFFICER | 2029580 |
| MEADE, COLLEEN ANNE | SECRETARY-ELECTED OFFICER | 5615089 |
| MICUCCI, ALISON HIERS | SENIOR MANAGING DIRECTOR, MACKAY SHIELDS INSTITUTIONAL SALES-ELECTED OFFICER | 2709298 |
| MILLAY, EDWARD PAUL | MANAGING DIRECTOR - ELECTED OFFICER | 7837443 |
| MISRA, MANALI SUDHIR | ASSISTANT GENERAL COUNSEL, ASSISTANT SECRETARY - ELECTED OFFICER | 8047340 |
| SABAL, CRAIG ANDREW | SENIOR MANAGING DIRECTOR, NYL INVESTORS INSTITUTIONAL SALES-ELECTED OFFICER | 4591702 |
| SHARRIER, ELIZABETH ANNE | ASSISTANT SECRETARY-ELECTED OFFICER | 2049186 |
| STRINGER, CHRISTOPHER RYAN | SENIOR MANAGING DIRECTOR, APOGEM CAPITAL INSTITUTIONAL SALES-ELECTED OFFICER | 5149663 |
| WICKWIRE, BRIAN DAVID | CHIEF OPERATING OFFICER, CONTROLLER, MANAGING DIRECTOR-ELECTED OFFICER | 4332103 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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