Michael E. Zaccagnini
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.
Michael E Zaccagnini, who also goes by Michael E Zaccagnini, Michael Edward Zaccagnini, Michael Zaccagnini, Mike Zaccagnini, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2011. Michael had worked at 7 firms and has passed the Series 65, Series 63, 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
January 30, 2019 - July 17, 2019
NYLIFE SECURITIES LLC
June 10, 2016 - August 8, 2018
J.P. MORGAN SECURITIES LLC
June 7, 2016 - August 8, 2018
J.P. MORGAN SECURITIES LLC
January 26, 2016 - April 22, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 20, 2016 - April 22, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 3, 2015 - November 9, 2015
DAVID LERNER ASSOCIATES, INC.
June 17, 2014 - December 31, 2014
MML INVESTORS SERVICES, LLC
May 7, 2014 - December 31, 2014
MML INVESTORS SERVICES, LLC
January 2, 2013 - April 24, 2014
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2012 - April 24, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 31, 2011 - October 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 28, 2011 - October 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2011 - August 31, 2011
DAVID LERNER ASSOCIATES, 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
Exams
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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