Flo-rilla R. Wynne-jones
Professional summary
Flo-rilla Rachael Wynne-jones, who also goes by Flo-rilla Rachael Ogle, Flo-rilla Rachael Roberts, Rachael Wynne, Rachael Wynne-jones, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Dallas, Texas.
Flo-rilla is registered as a RR (Registered Representative) and started their career in finance in 2002. Flo-rilla has worked at 12 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Flo-rilla Rachael Wynne-jones's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 2, 2022 - Present
NYLIFE SECURITIES LLC
Office #1: 5005 Lyndon B. Johnson Fwy Suite 1800, Dallas, TX 75244April 12, 2022 - July 13, 2022
TRANSAMERICA CAPITAL, LLC
September 15, 2020 - December 21, 2021
CHARLES SCHWAB & CO., INC.
September 15, 2020 - December 21, 2021
CHARLES SCHWAB & CO., INC.
June 8, 2020 - August 13, 2020
USAA INVESTMENT SERVICES COMPANY
April 22, 2019 - August 13, 2020
USAA INVESTMENT SERVICES COMPANY
April 22, 2019 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
July 5, 2017 - November 5, 2018
ISC ADVISORS, INC.
July 5, 2017 - November 5, 2018
INSTITUTIONAL SECURITIES CORPORATION
July 14, 2011 - July 5, 2017
WFG ADVISORS, LP
July 14, 2011 - July 5, 2017
WFG INVESTMENTS, INC.
July 18, 2007 - March 24, 2011
LPL FINANCIAL LLC
July 18, 2007 - March 24, 2011
LPL FINANCIAL LLC
August 11, 2006 - April 19, 2007
ADVANCED PLANNING, INC.
March 7, 2006 - March 30, 2007
LPL FINANCIAL LLC
February 28, 2006 - March 30, 2007
LPL FINANCIAL LLC
December 19, 2002 - January 7, 2006
SECURITIES AMERICA, 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
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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 |
| 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.
