Dean I. Cronister
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.
Dean Irwin Cronister was a registered financial advisor .
Dean is a previously registered financial advisor and started their career in finance in 1973. Dean had worked at 10 firms and has passed the Series 65, Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2005 - August 18, 2010
NYLIFE SECURITIES LLC
September 9, 2004 - September 30, 2005
PRINCIPAL SECURITIES, INC.
November 21, 2003 - September 30, 2005
PRINCIPAL SECURITIES, INC.
May 29, 2003 - November 21, 2003
HIGH MARK SECURITIES, INC.
August 9, 2002 - May 21, 2003
BROOKLIGHT PLACE SECURITIES, INC.
August 21, 2000 - June 17, 2002
AMERITAS INVESTMENT COMPANY, LLC
March 18, 1999 - August 2, 2000
AMERICAN BEACON PARTNERS, INC.
March 6, 1995 - July 11, 1997
EURO-ATLANTIC SECURITIES INC.
August 5, 1994 - October 11, 1996
OAK BROOK SECURITIES CORP.
April 13, 1994 - September 27, 1994
EURO-ATLANTIC SECURITIES INC.
June 18, 1993 - January 22, 1994
EURO-ATLANTIC SECURITIES INC.
August 6, 1987 - February 15, 1989
INVESTMENT BROKERS OF AMERICA
November 1, 1973 - August 3, 1994
HORANG SECURITIES, 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 1
Date: 10/27/1973
Registered 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 |
| 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 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| 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.
