MG
Morgan L. Glaser
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
New York, NY 10010
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CRD#: 4461111
MG
Professional summary
Morgan Lyn Glaser, CIMA®, who also goes by Morgan Lyn Fisher, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in New York, New York and NYLIFE DISTRIBUTORS LLC located in New York, New York.
Morgan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Morgan has worked at 5 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Morgan Lyn Fisher
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) - RIA
Click below to view Morgan Lyn Glaser'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®
Experience
Current
July 20, 2017 - Present
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Office #1: 51 Madison Avenue, New York, NY 10010RIA
CRD#: 109591
New York, NY
Current
July 19, 2017 - Present
NYLIFE DISTRIBUTORS LLC
Office #1: 51 Madison Avenue, New York, NY 10010BD
CRD#: 35350
New York, NY
Past
August 31, 2006 - June 22, 2017
BNY MELLON SECURITIES CORPORATION
RIA
CRD#: 231
New York, NY
Past
June 14, 2006 - June 22, 2017
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
New York, NY
Past
July 25, 2002 - June 15, 2006
LORD, ABBETT & CO. LLC
RIA
CRD#: 110391
JERSEY CITY, NJ
Past
January 16, 2002 - June 15, 2006
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NY
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
RIA
Registered Investment Advisory firm - (3/20/2000 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(9/28/2017)
RR
Alaska(9/28/2017)
RR
Arizona(9/28/2017)
RR
Arkansas(9/28/2017)
RR
California(7/19/2017)
RR
Colorado(9/28/2017)
RR
Connecticut(7/19/2017)
RR
Delaware(7/19/2017)
RR
District of Columbia(9/28/2017)
RR
Florida(9/28/2017)
RR
Georgia(7/19/2017)
RR
Hawaii(9/28/2017)
RR
Idaho(9/28/2017)
RR
Illinois(7/19/2017)
RR
Indiana(9/28/2017)
RR
Iowa(9/28/2017)
RR
Kansas(9/28/2017)
RR
Kentucky(9/28/2017)
RR
Louisiana(9/28/2017)
RR
Maine(9/28/2017)
RR
Maryland(9/28/2017)
RR
Massachusetts(9/28/2017)
RR
Michigan(9/28/2017)
RR
Minnesota(9/28/2017)
RR
Mississippi(9/28/2017)
RR
Missouri(9/28/2017)
RR
Montana(9/28/2017)
RR
Nebraska(9/28/2017)
RR
Nevada(9/28/2017)
RR
New Hampshire(9/28/2017)
RR
New Jersey(9/28/2017)
RR
New Mexico(9/28/2017)
RR
New York(7/19/2017)
IAR
New York(10/28/2021)
RR
North Carolina(9/28/2017)
RR
North Dakota(9/28/2017)
RR
Ohio(9/28/2017)
RR
Oklahoma(9/28/2017)
RR
Oregon(9/28/2017)
RR
Pennsylvania(9/28/2017)
RR
Rhode Island(9/28/2017)
RR
South Carolina(9/28/2017)
RR
South Dakota(9/28/2017)
RR
Tennessee(9/28/2017)
RR
Texas(9/28/2017)
RR
Utah(9/28/2017)
RR
Vermont(9/28/2017)
RR
Virginia(9/28/2017)
RR
Washington(9/28/2017)
RR
West Virginia(9/28/2017)
RR
Wisconsin(9/28/2017)
RR
Wyoming(9/28/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NY
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
RIA
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Contact information
Main Address
51 Madison Avenue, New York, NY 10010
Mailing Address
Phone number
(888) 474-7725
Established
Firm type
Fiscal year end
# of Employees
349
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
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.
