Samantha R. Hughes
Professional summary
Samantha Rae Hughes, who also goes by Samantha R Granger, Samantha R Hughes, Samantha Rae Hughes, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Clarence Center, New York.
Samantha is registered as a RR (Registered Representative) and started their career in finance in 2013. Samantha has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samantha Rae Hughes's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 25, 2023 - Present
NYLIFE SECURITIES LLC
October 14, 2021 - July 29, 2022
NYLIFE SECURITIES LLC
May 26, 2016 - September 25, 2020
NYLIFE SECURITIES LLC
October 30, 2015 - May 17, 2016
CADARET, GRANT & CO., INC.
October 30, 2015 - May 17, 2016
CADARET, GRANT & CO., INC.
August 20, 2014 - October 13, 2015
NYLIFE SECURITIES LLC
July 24, 2013 - June 6, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 16, 2013 - June 6, 2014
RAYMOND JAMES FINANCIAL SERVICES, 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
(1/18/2024)
(11/9/2023)
(10/25/2023)
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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