SE
Stephen T. Esther
NYLIFE SECURITIES LLC
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 6168325
SE
Professional summary
Stephen Timothy Esther, who also goes by Stephen Timothy Eshter, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Cleveland, Ohio.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2013. Stephen has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Timothy Eshter
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.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Timothy Esther'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
October 8, 2018 - Present
NYLIFE SECURITIES LLC
Office #1: 200 Public Square Suite 500, Cleveland, OH 44114BD
CRD#: 5167
Cleveland, OH
Past
April 11, 2016 - July 23, 2018
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CLEVELAND, OH
Past
January 22, 2016 - July 23, 2018
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CLEVELAND, OH
Past
April 22, 2013 - January 5, 2016
ETC BROKERAGE SERVICES, LLC
BD
CRD#: 145276
DALLAS, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(11/7/2018)
RR
Alaska(11/7/2018)
RR
Arizona(11/7/2018)
RR
Arkansas(11/7/2018)
RR
California(10/8/2018)
RR
Colorado(11/7/2018)
RR
Connecticut(11/7/2018)
RR
Delaware(11/7/2018)
RR
District of Columbia(11/7/2018)
RR
Florida(11/7/2018)
RR
Georgia(11/7/2018)
RR
Hawaii(11/7/2018)
RR
Idaho(11/7/2018)
RR
Illinois(11/7/2018)
RR
Indiana(11/7/2018)
RR
Iowa(11/7/2018)
RR
Kansas(11/7/2018)
RR
Kentucky(11/7/2018)
RR
Louisiana(11/7/2018)
RR
Maine(11/7/2018)
RR
Maryland(11/7/2018)
RR
Massachusetts(11/7/2018)
RR
Michigan(11/7/2018)
RR
Minnesota(11/7/2018)
RR
Mississippi(11/7/2018)
RR
Missouri(11/7/2018)
RR
Montana(11/7/2018)
RR
Nebraska(11/7/2018)
RR
Nevada(11/7/2018)
RR
New Hampshire(11/7/2018)
RR
New Jersey(11/7/2018)
RR
New Mexico(11/7/2018)
RR
New York(11/7/2018)
RR
North Carolina(11/8/2018)
RR
North Dakota(11/7/2018)
RR
Ohio(10/8/2018)
RR
Oklahoma(11/7/2018)
RR
Oregon(11/7/2018)
RR
Pennsylvania(11/7/2018)
RR
Rhode Island(11/7/2018)
RR
South Carolina(11/7/2018)
RR
South Dakota(11/7/2018)
RR
Tennessee(1/16/2020)
RR
Texas(11/7/2018)
RR
Utah(11/7/2018)
RR
Vermont(11/7/2018)
RR
Virginia(11/7/2018)
RR
Washington(11/7/2018)
RR
West Virginia(11/7/2018)
RR
Wisconsin(11/7/2018)
RR
Wyoming(11/7/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NYLIFE SECURITIES LLC
NEW YORK LIFE SECURITIES CORP. | NYLIFE SECURITIES LLC | NYLIFE SECURITIES INC. | NEW YORK LIFE VARIABLE CONTRACTS CORPORATION
CRD#: 5167 / SEC#: , 8-15517
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
51 Madison Ave. Room 713, New York, NY 10010
Mailing Address
51 Madison Avenue Room 713, New York, NY 10010
Phone number
(212) 576-7000
Established
Delaware since 01/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
