John M. Williamson
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.
John M Williamson, who also goes by John Marshall Williamson Jr, John Marshall Williamson Jr., John Marshall Williamson, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2014 - September 2, 2015
NYLIFE SECURITIES LLC
January 24, 2013 - November 19, 2013
FIRST EMPIRE SECURITIES, INC.
March 30, 2012 - September 28, 2012
BNY MELLON CAPITAL MARKETS, LLC
July 12, 2011 - March 30, 2012
PERSHING ADVISOR SOLUTIONS LLC
September 29, 2006 - September 28, 2012
PERSHING LLC
August 4, 1997 - November 13, 1998
ABN AMRO SECURITIES LLC
June 26, 1984 - May 29, 1997
LEHMAN BROTHERS INC.
February 22, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 1, 1976 - October 1, 1980
LEHMAN SPECIAL SECURITIES INC.
May 16, 1973 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
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 1
Date: 5/14/1973
Registered 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.
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