SY
Sean Youn
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Long Island City, NY
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CRD#: 5803754
SY
Professional summary
Sean Youn is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Long Island City, New York and NYLIFE DISTRIBUTORS LLC located in Rye Brook, New York.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Sean has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
SJWY LLC; 1135 45th Avenue Long Island City, NY 11101; For Airbnb and rental income I along with my wife are 50/50 partners; 3 hours per month not during normal business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Youn'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
August 10, 2016 - Present
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
RIA
CRD#: 109591
Long Island City, NY
Current
August 5, 2016 - Present
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
Rye Brook, NY
Past
April 29, 2014 - March 7, 2016
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
March 27, 2014 - March 7, 2016
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
October 1, 2012 - December 18, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
FLUSHING, NY
Past
July 8, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
FLUSHING, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NY
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
RIA
Registered Investment Advisory firm - (3/20/2000 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(6/30/2020)
RR
Alaska(6/30/2020)
RR
Arizona(6/30/2020)
RR
Arkansas(6/30/2020)
RR
California(6/30/2020)
RR
Colorado(6/30/2020)
RR
Connecticut(6/30/2020)
RR
Delaware(6/30/2020)
RR
District of Columbia(6/30/2020)
RR
Florida(6/30/2020)
RR
Georgia(6/30/2020)
RR
Hawaii(6/30/2020)
RR
Idaho(6/30/2020)
RR
Illinois(6/30/2020)
RR
Indiana(6/30/2020)
RR
Iowa(6/30/2020)
RR
Kansas(6/30/2020)
RR
Kentucky(6/30/2020)
RR
Louisiana(6/30/2020)
RR
Maine(6/30/2020)
RR
Maryland(6/30/2020)
RR
Massachusetts(6/30/2020)
RR
Michigan(6/30/2020)
RR
Minnesota(6/30/2020)
RR
Mississippi(6/30/2020)
RR
Missouri(6/30/2020)
RR
Montana(6/30/2020)
RR
Nebraska(6/30/2020)
RR
Nevada(6/30/2020)
RR
New Hampshire(6/30/2020)
RR
New Jersey(6/30/2020)
RR
New Mexico(6/30/2020)
RR
New York(8/5/2016)
IAR
New York(10/28/2021)
RR
North Carolina(6/30/2020)
RR
North Dakota(6/30/2020)
RR
Ohio(6/30/2020)
RR
Oklahoma(6/30/2020)
RR
Oregon(6/30/2020)
RR
Pennsylvania(6/30/2020)
RR
Puerto Rico(6/30/2020)
RR
Rhode Island(6/30/2020)
RR
South Carolina(6/30/2020)
RR
South Dakota(6/30/2020)
RR
Tennessee(6/30/2020)
RR
Texas(6/30/2020)
RR
Utah(6/30/2020)
RR
Vermont(6/30/2020)
RR
Virginia(6/30/2020)
RR
Washington(6/30/2020)
RR
West Virginia(6/30/2020)
RR
Wisconsin(6/30/2020)
RR
Wyoming(6/30/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NY
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
RIA
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Contact information
Main Address
51 Madison Avenue, New York, NY 10010
Mailing Address
Phone number
(888) 474-7725
Established
Firm type
Fiscal year end
# of Employees
349
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
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.
