Thomas A. Kester
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.
Thomas A Kester, who also goes by Thomas A. Kester, Thomas Kester, Thomas Alan Kester, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2010. Thomas had worked at 8 firms and has passed the Series 65, 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
May 11, 2018 - October 25, 2019
NYLIFE SECURITIES LLC
January 30, 2017 - June 16, 2017
EDWARD JONES
December 22, 2016 - June 16, 2017
EDWARD JONES
October 14, 2016 - December 21, 2016
SANTANDER SECURITIES LLC
March 24, 2016 - December 21, 2016
SANTANDER SECURITIES LLC
April 2, 2014 - February 8, 2016
MML INVESTORS SERVICES, LLC
March 12, 2014 - February 8, 2016
MML INVESTORS SERVICES, LLC
September 30, 2013 - January 31, 2014
PRUCO SECURITIES, LLC.
September 12, 2013 - January 31, 2014
PRUCO SECURITIES, LLC.
December 5, 2012 - August 19, 2013
CETERA ADVISORS LLC
December 5, 2012 - August 19, 2013
CETERA ADVISORS LLC
November 11, 2011 - December 6, 2012
WADDELL & REED
November 11, 2011 - December 6, 2012
WADDELL & REED
August 27, 2010 - October 25, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 15, 2010 - October 25, 2011
WELLS FARGO CLEARING 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
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.
