Lorene C. Fleming
Professional summary
Lorene C Fleming, who also goes by Lorene C Fleming-sanders, is a registered financial professional currently at NYLIFE SECURITIES LLC located in San Dimas, California.
Lorene is registered as a RR (Registered Representative) and started their career in finance in 1999. Lorene has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 52, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lorene C Fleming's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 9, 2026 - Present
NYLIFE SECURITIES LLC
Office #1: 140 Via Verde Suite 200, San Dimas, CA 91773December 20, 2021 - December 4, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 2, 2017 - December 23, 2021
U.S. BANCORP ADVISORS, LLC
September 5, 2006 - September 29, 2017
WEDBUSH SECURITIES INC.
March 24, 2004 - December 31, 2004
PFS INVESTMENTS INC.
September 23, 2003 - January 26, 2004
AMERIPRISE ADVISOR SERVICES, INC.
September 23, 2003 - January 26, 2004
AMERIPRISE ADVISOR SERVICES, INC.
March 6, 2003 - March 11, 2003
CHOREO, LLC
May 11, 1999 - March 11, 2003
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/9/2026)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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 |
| 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 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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