Timothy M. Broughton
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.
Timothy Michael Broughton, who also goes by Tim Broughton, Timothy M Broughton, Timothy Michael Broughton, Timothy Broughton, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2008. Timothy had worked at 5 firms and has passed the Series 63, Series 66, Series 6TO, 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
July 16, 2020 - July 13, 2023
NYLIFE SECURITIES LLC
October 1, 2012 - February 25, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - February 25, 2014
J.P. MORGAN SECURITIES LLC
June 5, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 4, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 3, 2011 - March 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
November 12, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 14, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, 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
Series 6TO
Date: 7/16/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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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