Dawn M. Niles
Professional summary
Dawn M Niles, who also goes by Dawn M Niles, Dawn Michelle Niles, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Edison, New Jersey.
Dawn is registered as a RR (Registered Representative) and started their career in finance in 2011. Dawn has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dawn M Niles's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 23, 2021 - Present
NYLIFE SECURITIES LLC
Office #1: 379 Thornall Street Fl 8, Edison, NJ 08837February 10, 2017 - May 22, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 23, 2015 - December 21, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 21, 2011 - October 11, 2013
NEW ENGLAND SECURITIES
February 16, 2011 - October 10, 2011
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/27/2024)
(10/27/2021)
(11/17/2021)
(6/29/2025)
Exams
FINRA
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
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