Eduardo K. Higuchi
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.
Eduardo Kenji Higuchi, who also goes by Eduardo K Higuchi, was a registered financial professional .
Eduardo is a previously registered financial professional and started their career in finance in 2004. Eduardo had worked at 10 firms and has passed the Series 63, Series 66, SIE 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
June 11, 2021 - September 24, 2024
NYLIFE SECURITIES LLC
May 13, 2020 - December 18, 2020
PRUCO SECURITIES, LLC.
October 17, 2016 - February 6, 2018
MML INVESTORS SERVICES, LLC
June 16, 2016 - February 6, 2018
MML INVESTORS SERVICES, LLC
January 2, 2014 - December 31, 2014
CROWN CAPITAL SECURITIES, L.P.
January 2, 2014 - December 31, 2014
CROWN CAPITAL SECURITIES, L.P.
August 23, 2012 - October 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 2012 - October 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 2009 - July 26, 2012
CHASE INVESTMENT SERVICES CORP.
September 11, 2009 - July 26, 2012
CHASE INVESTMENT SERVICES CORP.
April 2, 2007 - May 11, 2009
LPL FINANCIAL LLC
April 2, 2007 - May 11, 2009
LPL FINANCIAL LLC
February 17, 2006 - February 12, 2007
UBS FINANCIAL SERVICES INC.
February 17, 2006 - February 12, 2007
UBS FINANCIAL SERVICES INC.
August 16, 2004 - December 21, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
August 16, 2004 - December 21, 2005
IDS LIFE INSURANCE COMPANY
August 16, 2004 - December 21, 2005
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
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 |
| 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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