Brendan P. Shay

NYLIFE SECURITIES LLC

Columbia, MD 21045

Some features on this profile are disabled

CRD#: 3165628

Professional summary

Brendan Peter Shay is a registered financial professional currently at NYLIFE SECURITIES LLC located in Columbia, Maryland.

Brendan is registered as a RR (Registered Representative) and started their career in finance in 1999. Brendan has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Brendan Peter Shay'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

October 10, 2002 - Present

NYLIFE SECURITIES LLC

Office #1: 5850 Waterloo Road Suite 140, Columbia, MD 21045

CRD#: 5167

Columbia, MD

Past

February 28, 2003 - October 29, 2004

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

BETHESDA, MD

Past

September 11, 2000 - July 23, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

OWINGS MILLS, MD

Past

August 3, 2000 - July 23, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 3, 2000 - July 23, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 21, 1999 - July 25, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

State Registrations and Notice Filings

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

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

California
(1/14/2025)

Florida
(1/14/2025)

Indiana
(1/14/2025)

Maryland
(10/10/2002)

New Jersey
(1/14/2025)

New York
(1/15/2025)

Pennsylvania
(1/14/2025)

Wisconsin
(1/16/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/28/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/15/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NYLIFE SECURITIES LLC

NEW YORK LIFE SECURITIES CORP. | NYLIFE SECURITIES LLC | NYLIFE SECURITIES INC. | NEW YORK LIFE VARIABLE CONTRACTS CORPORATION

CRD#: 5167 / SEC#: , 8-15517

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

51 Madison Ave. Room 713, New York, NY 10010

Mailing Address

51 Madison Avenue Room 713, New York, NY 10010

Phone number

(212) 576-7000

Established

Delaware since 01/01/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

Similar Advisors

Brian Mckinney

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Gary Williams

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Lawrence Leitch

LPL FINANCIAL LLC

IAR

TOWSON, MD

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brendan P. Shay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brendan Peter Shay's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAGLE STRATEGIES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2000

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2000

Series 6

Date: 1/15/1999

FINRA

Current Firm

NYLIFE SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NYLIFE SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors