Gretchen Tamplin
Professional summary
Gretchen Tamplin, who also goes by Gretchen Knaup, Gretchen Phillips, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Dallas, Texas.
Gretchen is registered as a RR (Registered Representative) and started their career in finance in 2003. Gretchen has worked at 13 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gretchen Tamplin's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 23, 2026 - Present
NYLIFE SECURITIES LLC
Office #1: 5005 Lyndon B Johnson Freeway Suite 1600 & Suite 1125, Dallas, TX 75244July 24, 2024 - August 1, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 22, 2019 - June 12, 2020
LPL FINANCIAL LLC
January 18, 2019 - June 12, 2020
LPL FINANCIAL LLC
October 16, 2017 - December 19, 2018
FIRST COMMAND ADVISORY SERVICES
October 16, 2017 - December 19, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
April 5, 2017 - September 25, 2017
THE HUNTINGTON INVESTMENT COMPANY
December 5, 2016 - March 21, 2017
PNC WEALTH MANAGEMENT LLC
December 1, 2016 - March 21, 2017
PNC WEALTH MANAGEMENT LLC
August 7, 2012 - November 23, 2016
UBS FINANCIAL SERVICES INC.
August 3, 2012 - November 23, 2016
UBS FINANCIAL SERVICES INC.
October 6, 2011 - August 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 6, 2011 - August 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
February 2, 2010 - September 21, 2011
AVANTAX ADVISORY SERVICES
February 1, 2010 - September 21, 2011
AVANTAX INVESTMENT SERVICES, INC.
February 17, 2009 - January 15, 2010
UBS FINANCIAL SERVICES INC.
February 13, 2009 - January 15, 2010
UBS FINANCIAL SERVICES INC.
May 30, 2007 - March 10, 2009
CITIGROUP GLOBAL MARKETS INC.
April 6, 2007 - March 10, 2009
CITIGROUP GLOBAL MARKETS INC.
June 26, 2003 - November 4, 2003
KEYBANC CAPITAL MARKETS INC.
March 28, 2003 - November 4, 2003
KEYBANC CAPITAL MARKETS 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
What does exam status mean?
Series 7TO
Passed: 6/8/2024
General Securities 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 |
| 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 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| 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.
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Company Information
NYLIFE SECURITIES LLC
CRD#: 5167Dallas, TX 75244TRUST BUT VERIFY
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