Allan J. Nicolow
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.
Allan J Nicolow, who also goes by Allan James Nicolow Mi, Jim Nicolow, Allan James Nicolow, was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 2007. Allan had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2020 - September 1, 2021
NYLIFE SECURITIES LLC
August 7, 2020 - September 16, 2020
PFS INVESTMENTS INC.
March 20, 2020 - September 16, 2020
PFS INVESTMENTS INC.
September 19, 2018 - October 1, 2019
HORACE MANN INVESTORS, INC.
May 29, 2018 - October 1, 2019
HORACE MANN INVESTORS, INC.
July 27, 2016 - May 2, 2018
PLANMEMBER SECURITIES CORPORATION
July 25, 2016 - May 2, 2018
PLANMEMBER SECURITIES CORPORATION
January 27, 2010 - June 15, 2016
FAIRWAY INVESTMENT GROUP, LLC
October 31, 2008 - May 12, 2016
PARADIGM EQUITIES, INC.
May 27, 2008 - November 3, 2008
VALIC FINANCIAL ADVISORS, INC.
May 27, 2008 - November 3, 2008
VALIC FINANCIAL ADVISORS, INC.
January 10, 2007 - May 29, 2008
PARADIGM EQUITIES, 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
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
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.
