MS
Marcus D. Smith
NYLIFE SECURITIES LLC
Maitland, FL 32751
Some features on this profile are disabled
CRD#: 4762661
MS
Professional summary
Marcus D Smith, who also goes by Marcus D Smith, Marcus Deandree Smith, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Maitland, Florida.
Marcus is registered as a RR (Registered Representative) and started their career in finance in 2004. Marcus has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Marcus D Smith | Marcus Deandree Smith
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.
(1)Name: Tax Time Solution Inv Rel: Y Addr: 2015 Aurora Rd., Suite C, Melbourne FL 32935 Nature: Tax Preparation Position: Tax Preparer Start: 02/01/2024 No Hrs/Mo: 20 No Hrs/Mo Dur Trading: 0 (2)Name: Marcus Smith, Melbourne City Council Inv Rel: Y Addr: At Residential Address Nature: Campaigning for Melbourne City Council Position: Melbourne City Council Start: 11/01/2023 No Hrs/Mo: 20 No Hrs/Mo Dur Trading: 0 (3)Name: Marcus Smith Inv Rel: Y Addr: At Residential Address Nature: Outside Insurance - Sale of Life, Equity Fixed Life Position: Insurance Sales Start Date: 01/01/2024 No. Hr/Mo: 10 No. Hr/Mo During Sec Trading: 0
CRS (Client Relationship Summary) - BD
Click below to view Marcus D Smith'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®
NoneExperience
Current
July 9, 2025 - Present
NYLIFE SECURITIES LLC
Office #1: Maitland Promenade Ii Building 495 North Keller Road Suite 150, Maitland, FL 32751BD
CRD#: 5167
Maitland, FL
Past
May 14, 2024 - October 29, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
MELBOURNE, FL
Past
January 29, 2024 - October 29, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
MELBOURNE, FL
Past
February 10, 2023 - November 14, 2023
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
MELBOURNE, FL
Past
April 28, 2021 - December 31, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ORLANDO, FL
Past
September 13, 2019 - December 31, 2019
PFS INVESTMENTS INC.
BD
CRD#: 10111
COCOA BEACH, FL
Past
April 5, 2007 - September 26, 2007
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
ATLANTA, GA
Past
May 30, 2006 - September 8, 2006
AMERICAN CLASSIC SECURITIES, INC.
BD
CRD#: 25399
ATLANTA, GA
Past
May 13, 2004 - December 31, 2004
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Florida(8/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 9/13/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
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
BD
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)
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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Company Information
NYLIFE SECURITIES LLC
CRD#: 5167Maitland, FL 32751TRUST BUT VERIFY
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