Danielle Upward
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.
Danielle Upward, who also goes by Sarich Danielle, Danielle Sarich, was a registered financial professional .
Danielle is a previously registered financial professional and started their career in finance in 2007. Danielle had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 55 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
March 11, 2013 - December 4, 2015
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
March 11, 2013 - December 4, 2015
NYLIFE DISTRIBUTORS LLC
February 13, 2012 - January 28, 2013
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
February 9, 2012 - January 28, 2013
AMUNDI DISTRIBUTOR US, INC.
February 15, 2011 - January 18, 2012
LORD, ABBETT & CO. LLC
December 20, 2010 - January 18, 2012
LORD ABBETT DISTRIBUTOR LLC
August 31, 2010 - November 15, 2010
ESPOSITO SECURITIES, LLC
May 19, 2010 - August 6, 2010
LOUIS CAPITAL MARKETS, LLC
February 6, 2008 - May 24, 2010
COWEN EXECUTION SERVICES LLC
May 16, 2007 - February 6, 2008
B-TRADE SERVICES LLC
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
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 55
Date: 3/25/2008
Limited Representative-Equity Trader ExamCurrent Firm
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
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.
