Nicole A. Clarke

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Oceanside, NY

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CRD#: 6117962

Professional summary

Nicole Abir Clarke, who also goes by Nicole Abir Clarke, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Oceanside, New York and NYLIFE DISTRIBUTORS LLC located in Merrick, New York.

Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Nicole has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicole Abir Clarke

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Abir Clarke's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 27, 2022 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

Oceanside, NY

Current

October 27, 2022 - Present

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

Merrick, NY

Past

March 28, 2022 - March 29, 2023

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

MELVILLE, NY

Past

September 20, 2013 - November 17, 2022

NYLIFE SECURITIES LLC

CRD#: 5167

MELVILLE, 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".

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.

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

Arizona
(1/10/2025)

Colorado
(1/10/2025)

Connecticut
(1/10/2025)

Florida
(7/27/2023)

Georgia
(11/7/2023)

Illinois
(11/7/2023)

Massachusetts
(1/10/2025)

Michigan
(1/10/2025)

Minnesota
(1/10/2025)

New Hampshire
(11/7/2023)

New Jersey
(11/7/2023)

New York
(10/27/2022)

IAR

New York
(10/27/2022)

Ohio
(11/8/2023)

Pennsylvania
(1/10/2025)

Puerto Rico
(10/6/2023)

Texas
(11/7/2023)

Virgin Islands
(10/12/2023)

Virginia
(1/10/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/19/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/11/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/20/2013

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/26/2015

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Nicole A. Clarke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Abir Clarke's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/19/2014

Series 7TO

Date: 2/11/2022

SIE

Date: 10/1/2018

Series 6

Date: 9/20/2013

Series 26

Date: 4/26/2015

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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