EK
Eric J. Knevals
NYLIFE SECURITIES LLC
New York, NY 10010
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CRD#: 4018044
EK
Professional summary
Eric John Knevals, who also goes by Eric J Knevals, is a registered financial professional currently at NYLIFE SECURITIES LLC located in New York, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1999. Eric has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Eric J Knevals
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 Eric John Knevals'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
December 2, 2015 - Present
NYLIFE SECURITIES LLC
Office #1: 51 Madison Avenue, New York, NY 10010BD
CRD#: 5167
New York, NY
Past
August 9, 2005 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
SOMERSET, NJ
Past
July 1, 2005 - August 5, 2005
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
August 6, 2003 - September 5, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
SOMERSET, NJ
Past
August 6, 2003 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
SOMERSET, NJ
Past
July 7, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
ISELIN, NJ
Past
July 7, 2003 - November 7, 2015
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SOMERSET, NJ
Past
June 30, 2001 - September 26, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
BD
CRD#: 36807
JERSEY CITY, NJ
Past
November 23, 1999 - June 30, 2001
ICAPITAL MARKETS LLC
BD
CRD#: 5209
OMAHA, NE
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
Alabama(12/2/2015)
RR
Alaska(12/2/2015)
RR
Arizona(12/2/2015)
RR
Arkansas(12/2/2015)
RR
California(12/2/2015)
RR
Colorado(12/2/2015)
RR
Connecticut(12/2/2015)
RR
Delaware(12/2/2015)
RR
District of Columbia(12/2/2015)
RR
Florida(12/2/2015)
RR
Georgia(12/2/2015)
RR
Hawaii(12/2/2015)
RR
Idaho(12/2/2015)
RR
Illinois(12/2/2015)
RR
Indiana(12/2/2015)
RR
Iowa(12/2/2015)
RR
Kansas(12/2/2015)
RR
Kentucky(12/2/2015)
RR
Louisiana(12/2/2015)
RR
Maine(12/2/2015)
RR
Maryland(12/2/2015)
RR
Massachusetts(12/2/2015)
RR
Michigan(12/2/2015)
RR
Minnesota(12/2/2015)
RR
Mississippi(12/2/2015)
RR
Missouri(12/2/2015)
RR
Montana(12/2/2015)
RR
Nebraska(12/2/2015)
RR
Nevada(12/2/2015)
RR
New Hampshire(12/2/2015)
RR
New Jersey(12/2/2015)
RR
New Mexico(12/2/2015)
RR
New York(12/2/2015)
RR
North Carolina(12/3/2015)
RR
North Dakota(12/2/2015)
RR
Ohio(12/3/2015)
RR
Oklahoma(12/2/2015)
RR
Oregon(12/2/2015)
RR
Pennsylvania(12/2/2015)
RR
Rhode Island(12/2/2015)
RR
South Carolina(12/2/2015)
RR
South Dakota(12/2/2015)
RR
Tennessee(12/2/2015)
RR
Texas(12/2/2015)
RR
Utah(12/2/2015)
RR
Vermont(12/2/2015)
RR
Virginia(12/2/2015)
RR
Washington(12/2/2015)
RR
West Virginia(12/2/2015)
RR
Wisconsin(12/2/2015)
RR
Wyoming(12/2/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
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.
