Melissa J. Flower
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.
Melissa Jo Flower, who also goes by Melissa Coble, was a registered financial professional .
Melissa is a previously registered financial professional and started their career in finance in 1999. Melissa had worked at 10 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 31 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
May 6, 2023 - January 2, 2026
NYLIFE SECURITIES LLC
June 2, 2011 - April 18, 2013
VALIC FINANCIAL ADVISORS, INC.
May 26, 2011 - April 18, 2013
VALIC FINANCIAL ADVISORS, INC.
June 12, 2008 - May 18, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
June 11, 2008 - May 18, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
May 13, 2005 - May 27, 2008
EQUITABLE ADVISORS, LLC
May 12, 2005 - May 27, 2008
EQUITABLE ADVISORS, LLC
August 23, 2004 - September 15, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 7, 2004 - September 15, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 26, 2003 - May 14, 2003
UBS FINANCIAL SERVICES INC.
March 26, 2003 - May 14, 2003
UBS FINANCIAL SERVICES INC.
August 6, 2001 - March 6, 2003
CETERA INVESTMENT SERVICES LLC
June 14, 2001 - March 6, 2003
CETERA INVESTMENT SERVICES LLC
January 11, 2001 - February 27, 2001
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 14, 1999 - December 19, 2000
MORGAN STANLEY DW INC.
July 9, 1999 - November 1, 1999
WADDELL & REED
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 6TO
Date: 5/5/2023
Investment Company Products/Variable Contracts Representative 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 |
| 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
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.
