Ricky L. Kester
Professional summary
Ricky Lee Kester, who also goes by Rick Lee Kester, Rick Kester, Ricky Lee Kester, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Cleveland, Ohio.
Ricky is registered as a RR (Registered Representative) and started their career in finance in 2004. Ricky has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ricky Lee Kester's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 26, 2022 - Present
NYLIFE SECURITIES LLC
Office #1: 200 Public Square Suite 500, Cleveland, OH 44114November 30, 2021 - June 28, 2022
N.I.S. FINANCIAL SERVICES, INC.
February 12, 2018 - December 31, 2020
TD AMERITRADE CLEARING, INC.
December 21, 2017 - January 26, 2021
TD AMERITRADE, INC.
June 27, 2014 - December 5, 2017
NYLIFE SECURITIES LLC
March 8, 2012 - June 11, 2014
EQUITY SERVICES, INC.
October 5, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 5, 2004 - December 5, 2009
MSI FINANCIAL SERVICES, INC.
May 25, 2004 - August 13, 2004
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/26/2022)
Exams
FINRA
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
