Charles A. Proulx
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.
Charles A. Proulx, who also goes by Charles A Proulx Jr, Charles Arthur Proulx Jr, Charles Arthur Proulx, Charles A. Proulx, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2008. Charles had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2023 - May 29, 2024
NYLIFE SECURITIES LLC
October 7, 2022 - December 31, 2022
PFS INVESTMENTS INC.
September 4, 2020 - December 9, 2021
J.H. DARBIE & CO., INC.
July 26, 2019 - December 11, 2019
CABOT LODGE SECURITIES LLC
February 27, 2018 - March 4, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 12, 2016 - August 29, 2017
MML INVESTORS SERVICES, LLC
June 10, 2016 - July 22, 2016
WELLS FARGO CLEARING SERVICES, LLC
May 19, 2016 - July 22, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 15, 2014 - May 5, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 18, 2013 - August 21, 2013
CABOT LODGE SECURITIES LLC
January 25, 2013 - April 8, 2013
AEGIS CAPITAL CORP.
September 14, 2012 - January 24, 2013
GILFORD SECURITIES INCORPORATED
February 18, 2011 - August 16, 2012
ADVANCED EQUITIES, INC.
June 22, 2010 - October 4, 2010
CHASE INVESTMENT SERVICES CORP.
November 5, 2009 - January 11, 2010
JOHN THOMAS FINANCIAL
July 28, 2009 - November 10, 2009
THINKEQUITY LLC
May 5, 2008 - July 23, 2009
WILMINGTON CAPITAL SECURITIES, LLC
January 1, 2008 - May 1, 2008
THINKEQUITY 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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