Kono M. Lunde
Professional summary
Kono Michi Lunde, who also goes by Kono Michi Alegria Guzman, Kono Alegria Guzman, K Michi Guzman Miss, K Michi Guzman, Michi Michi Guzman, Michi Guzman, Michi Lunde, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Glendale, California.
Kono is registered as a RR (Registered Representative) and started their career in finance in 2007. Kono has worked at 9 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 Kono Michi Lunde's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 2025 - Present
NYLIFE SECURITIES LLC
Office #1: 801 North Brand Blvd 14th Floor, Glendale, CA 91203September 14, 2022 - January 12, 2023
SANCTUARY ADVISORS, LLC
September 14, 2022 - January 12, 2023
SANCTUARY SECURITIES, INC.
June 9, 2022 - September 26, 2022
WELLS FARGO CLEARING SERVICES, LLC
June 9, 2022 - September 26, 2022
WELLS FARGO CLEARING SERVICES, LLC
February 23, 2015 - March 28, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 2015 - March 28, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 2012 - February 17, 2015
TD AMERITRADE, INC.
August 23, 2012 - February 17, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 23, 2012 - February 17, 2015
TD AMERITRADE, INC.
March 11, 2011 - August 16, 2012
CHASE INVESTMENT SERVICES CORP.
March 11, 2011 - August 16, 2012
CHASE INVESTMENT SERVICES CORP.
December 5, 2007 - May 13, 2010
UBS FINANCIAL SERVICES INC.
October 19, 2007 - May 13, 2010
UBS FINANCIAL SERVICES 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
(8/18/2025)
(1/1/2025)
(4/23/2025)
(8/19/2025)
(4/23/2025)
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 |
| 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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