Nelson Chavez
Professional summary
Nelson Chavez, who also goes by Nelson Stewart Chavez, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Glendale, California.
Nelson is registered as a RR (Registered Representative) and started their career in finance in 2006. Nelson has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nelson Chavez's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2026 - Present
NYLIFE SECURITIES LLC
Office #1: 801 North Brand Blvd Suite 1400, Glendale, CA 91203June 30, 2010 - June 21, 2024
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2010 - June 21, 2024
WELLS FARGO CLEARING SERVICES, LLC
August 6, 2008 - July 6, 2010
WELLS FARGO INVESTMENTS, LLC
July 14, 2008 - July 6, 2010
WELLS FARGO INVESTMENTS, LLC
May 17, 2006 - September 26, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
May 11, 2006 - September 26, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 21, 2006 - March 16, 2006
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
(6/3/2026)
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 |
| 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 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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