Stanley Huh
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.
Stanley Huh was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 2000. Stanley had worked at 11 firms and has passed the Series 65, Series 63 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
September 27, 2010 - June 1, 2012
NYLIFE SECURITIES LLC
May 29, 2007 - June 25, 2009
CITIGROUP GLOBAL MARKETS INC.
October 31, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 20, 2006 - April 27, 2006
HSBC SECURITIES (USA) INC.
October 12, 2004 - December 7, 2005
CHASE INVESTMENT SERVICES CORP.
December 17, 2003 - December 7, 2005
CHASE INVESTMENT SERVICES CORP.
March 17, 2003 - September 29, 2003
METROPOLITAN LIFE INSURANCE COMPANY
March 17, 2003 - September 29, 2003
MSI FINANCIAL SERVICES, INC.
July 2, 2002 - February 4, 2003
EQUITABLE ADVISORS, LLC
December 19, 2001 - February 4, 2003
EQUITABLE ADVISORS, LLC
March 28, 2001 - April 26, 2001
MONY SECURITIES CORPORATION
September 25, 2000 - May 10, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 25, 2000 - May 10, 2001
OSAIC FA, INC.
January 2, 2000 - July 7, 2000
METROPOLITAN LIFE INSURANCE COMPANY
January 2, 2000 - July 7, 2000
MSI FINANCIAL 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
Exams
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 |
| 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.
