LS
Luke M. Schlafly
PINEBRIDGE SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 5731581
LS
Professional summary
Luke M Schlafly is a registered financial professional currently at PINEBRIDGE SECURITIES LLC located in New York, New York.
Luke is registered as a RR (Registered Representative) and started their career in finance in 2010. Luke has worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Luke M Schlafly's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 14, 2016 - Present
PINEBRIDGE SECURITIES LLC
Office #1: 65 East 55th Street Park Avenue Tower, New York, NY 10022BD
CRD#: 5967
New York, NY
Past
May 31, 2011 - September 28, 2016
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
March 22, 2010 - May 31, 2011
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/14/2016)
RR
Alaska(11/14/2016)
RR
Arizona(11/14/2016)
RR
Arkansas(11/14/2016)
RR
California(11/14/2016)
RR
Colorado(11/14/2016)
RR
Connecticut(11/14/2016)
RR
Delaware(11/14/2016)
RR
District of Columbia(11/14/2016)
RR
Florida(11/14/2016)
RR
Georgia(11/14/2016)
RR
Hawaii(11/14/2016)
RR
Idaho(11/14/2016)
RR
Illinois(11/14/2016)
RR
Indiana(11/14/2016)
RR
Iowa(11/14/2016)
RR
Kansas(11/14/2016)
RR
Kentucky(11/14/2016)
RR
Louisiana(11/14/2016)
RR
Maine(11/14/2016)
RR
Maryland(11/14/2016)
RR
Massachusetts(11/14/2016)
RR
Michigan(11/14/2016)
RR
Minnesota(11/14/2016)
RR
Mississippi(11/14/2016)
RR
Missouri(11/14/2016)
RR
Montana(11/14/2016)
RR
Nebraska(11/14/2016)
RR
Nevada(11/14/2016)
RR
New Hampshire(11/14/2016)
RR
New Jersey(11/14/2016)
RR
New Mexico(11/14/2016)
RR
New York(11/14/2016)
RR
North Carolina(11/17/2016)
RR
North Dakota(11/14/2016)
RR
Ohio(11/15/2016)
RR
Oklahoma(11/14/2016)
RR
Oregon(11/14/2016)
RR
Pennsylvania(11/14/2016)
RR
Puerto Rico(11/14/2016)
RR
Rhode Island(11/14/2016)
RR
South Carolina(11/14/2016)
RR
South Dakota(11/14/2016)
RR
Tennessee(11/14/2016)
RR
Texas(11/14/2016)
RR
Utah(11/14/2016)
RR
Vermont(11/14/2016)
RR
Virginia(11/14/2016)
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Washington(11/14/2016)
RR
West Virginia(11/14/2016)
RR
Wisconsin(11/14/2016)
RR
Wyoming(11/14/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PS
PINEBRIDGE SECURITIES LLC
AIG EQUITY SALES CORP. | PINEBRIDGE SECURITIES LLC | AMERICAN INTERNATIONAL FUND DISTRIBUTORS, INC.
CRD#: 5967 / SEC#: , 8-16586
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
65 East 55th Street Park Avenue Tower, New York, NY 10022
Mailing Address
65 East 55th Street Park Avenue Tower, New York, NY 10022
Phone number
(646) 857-8132
Established
Delaware since 10/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
