Yuan Gong

NYLIFE SECURITIES LLC

San Jose, CA 95128

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CRD#: 4673968

Professional summary

Yuan Gong is a registered financial professional currently at NYLIFE SECURITIES LLC located in San Jose, California.

Yuan is registered as a RR (Registered Representative) and started their career in finance in 2003. Yuan has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Yuan Gong's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 25, 2009 - Present

NYLIFE SECURITIES LLC

Office #1: 550 S Winchester Blvd Suite 405, San Jose, CA 95128

CRD#: 5167

San Jose, CA

Past

April 9, 2008 - October 1, 2008

MANDARIN PACIFIC ASSET MANAGEMENT, LLC

RIA

CRD#: 145768

SAUSALITO, CA

Past

June 7, 2004 - September 30, 2008

WHITE PACIFIC SECURITIES, INC.

CRD#: 42505

SAN FRANCISCO, CA

Past

August 6, 2003 - March 2, 2004

PCI*TRADE SECURITIES

CRD#: 40650

MILPITAS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(8/25/2009)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/4/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/4/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/2/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NYLIFE SECURITIES LLC

NEW YORK LIFE SECURITIES CORP. | NYLIFE SECURITIES LLC | NYLIFE SECURITIES INC. | NEW YORK LIFE VARIABLE CONTRACTS CORPORATION

CRD#: 5167 / SEC#: , 8-15517

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

51 Madison Ave. Room 713, New York, NY 10010

Mailing Address

51 Madison Avenue Room 713, New York, NY 10010

Phone number

(212) 576-7000

Established

Delaware since 01/01/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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Yuan Gong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Yuan Gong's CRS (Customer Relationship Summary).

Certified licenses

Experience

MANDARIN PACIFIC ASSET MANAGEMENT, LLC

WHITE PACIFIC SECURITIES, INC.

PCI*TRADE SECURITIES

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2003

SIE

Date: 10/1/2018

Series 7

Date: 8/4/2003

Series 24

Date: 8/2/2005

FINRA

Current Firm

NYLIFE SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NYLIFE SECURITIES LLC

TRUST BUT VERIFY

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