Sharon H. Goodale
Professional summary
Sharon H Goodale was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sharon is a previously registered financial advisor and started their career in finance in 2005. Prior to being barred, Sharon had worked at 5 firms, which includes NYLIFE SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., UBS FINANCIAL SERVICES INC., AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2011 - January 3, 2013
NYLIFE SECURITIES LLC
September 1, 2010 - March 2, 2011
CHASE INVESTMENT SERVICES CORP.
August 31, 2010 - March 2, 2011
CHASE INVESTMENT SERVICES CORP.
December 12, 2007 - May 13, 2009
UBS FINANCIAL SERVICES INC.
December 10, 2007 - May 13, 2009
UBS FINANCIAL SERVICES INC.
October 5, 2005 - November 7, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
September 13, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
September 13, 2005 - November 7, 2007
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
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