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Richard W. Vanhorn

NYLIFE SECURITIES LLC
Uniondale, NY 11553
Some features on this profile are disabled
CRD#: 3257986
RV

Professional summary

Richard William Vanhorn, who also goes by Richard Vanhorn, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Uniondale, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 1 firm and has passed the Series 99TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Vanhorn

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 Richard William Vanhorn'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 29, 1999 - Present

NYLIFE SECURITIES LLC

Office #1: 333 Earle Ovington Blvd. Suite 505, Uniondale, NY 11553
BD
CRD#: 5167
Uniondale, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/28/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
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

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

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NYLIFE LLC.SHAREHOLDER
BAGTAS, ANGELA CHENELECTED MANAGER8172856
BOCCIO, JOHN MICHAELCHIEF EXECUTIVE OFFICER AND PRESIDENT4600977
DUARTE, DEBORAH LYNNELECTED MANAGER6090278
ENGELBRECHTSEN, TOM DAHLCORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER2908809
FEINBERG, AMARYA NMNELECTED MANAGER8162482
HUANG, DYLAN WEIELECTED MANAGER AND CHAIRMAN6233208
LOFTUS, PATRICIA ELIZABETHCORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER2156131
SCHWARTZ, RACHEL SABRINAVICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL8170474
TILLOTSON, SANDRA GELECTED MANAGER7617600
VIRENDRA, SONALI NMNELECTED MANAGER2404467
ZAMAN, NABEEDVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER6410914

Disclosures

Regulatory Event13
Arbitration7

Red Flags

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Company Information

NYLIFE SECURITIES LLC

CRD#: 5167Uniondale, NY 11553

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