Stephanie R. Putnam
Professional summary
Stephanie R Putnam, who also goes by Stephanie R Neumann, Stephanie R Putnam, is a registered financial professional currently at NYLIFE SECURITIES LLC located in New York, New York.
Stephanie is registered as a RR (Registered Representative) and started their career in finance in 2006. Stephanie has worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephanie R Putnam's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2022 - Present
NYLIFE SECURITIES LLC
Office #1: 51 Madison Avenue, New York, NY 10010November 25, 2019 - April 4, 2022
FIRST COMMAND ADVISORY SERVICES
November 25, 2019 - April 4, 2022
FIRST COMMAND BROKERAGE SERVICES, INC.
September 21, 2007 - November 19, 2019
USAA FINANCIAL ADVISORS, INC.
May 8, 2007 - November 19, 2019
USAA INVESTMENT SERVICES COMPANY
May 8, 2007 - November 19, 2019
USAA INVESTMENT SERVICES COMPANY
August 1, 2006 - April 17, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
July 14, 2006 - April 17, 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
(6/23/2022)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities 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
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