Robert P. Malik
Professional summary
Robert Patrick Malik, who also goes by Robert P Malik, Robert Patrick Malik, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Latham, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2004. Robert has worked at 12 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Patrick Malik's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 16, 2023 - Present
NYLIFE SECURITIES LLC
Office #1: 26 Century Hill Drive Suite 301, Latham, NY 12110April 11, 2023 - July 11, 2023
NYLIFE SECURITIES LLC
December 22, 2021 - November 2, 2022
EQUITABLE ADVISORS, LLC
May 20, 2019 - December 31, 2019
PFS INVESTMENTS INC.
August 31, 2016 - June 5, 2017
NATIONWIDE SECURITIES, LLC
November 5, 2014 - February 18, 2015
HEALTHCARE COMMUNITY SECURITIES CORP.
December 4, 2013 - June 23, 2014
EQUITY SERVICES, INC.
December 16, 2011 - August 28, 2012
MSI FINANCIAL SERVICES, INC.
August 10, 2011 - December 6, 2011
LPL FINANCIAL LLC
January 27, 2011 - June 22, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 19, 2008 - October 21, 2010
NEW ENGLAND SECURITIES
November 3, 2004 - April 25, 2007
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 3, 2004 - April 25, 2007
OSAIC FA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/17/2023)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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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