Philip Peabody
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.
Philip Peabody, who also goes by Philip Lee Peabody, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2003. Philip had worked at 10 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 6 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
November 15, 2019 - May 10, 2021
NYLIFE SECURITIES LLC
May 7, 2018 - September 28, 2018
PRUCO SECURITIES, LLC.
June 17, 2014 - October 14, 2014
WADDELL & REED
June 16, 2014 - October 14, 2014
WADDELL & REED
July 29, 2011 - June 28, 2012
VALIC FINANCIAL ADVISORS, INC.
July 11, 2011 - June 28, 2012
VALIC FINANCIAL ADVISORS, INC.
October 28, 2010 - March 3, 2011
FIRST COMMAND BROKERAGE SERVICES, INC.
September 21, 2010 - March 3, 2011
FIRST COMMAND BROKERAGE SERVICES, INC.
January 2, 2009 - July 27, 2009
NYLIFE SECURITIES LLC
January 29, 2007 - March 3, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
June 5, 2006 - August 1, 2006
OPPENHEIMER & CO. INC.
June 5, 2006 - August 1, 2006
OPPENHEIMER & CO. INC.
February 27, 2006 - June 7, 2006
AMERIPRISE ADVISOR SERVICES, INC.
March 1, 2004 - June 7, 2006
AMERIPRISE ADVISOR SERVICES, INC.
April 17, 2003 - December 19, 2003
IDS LIFE INSURANCE COMPANY
April 17, 2003 - December 19, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 6TO
Date: 12/3/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
