BB
Brendan Bostock
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Richmond, VA
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CRD#: 6212696
BB
Professional summary
Brendan Bostock, who also goes by Brendan Richard Bostock, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Richmond, Virginia and NYLIFE DISTRIBUTORS LLC located in Richmond, Virginia.
Brendan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Brendan has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brendan Richard Bostock
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.
Delta Kappa Epsilon; 6921 Jackson Rd., Suite 400 Ann Arbor, MI 48103; not investment-related; I am the Treasurer of the DKE Rho Beta (University of Richmond) alumni association. I also serve as the Chapter advisor. My role is to help organize alumni events and advise the local chapter of undergraduate members; 4 hours per month not during normal business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Brendan Bostock'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
August 25, 2025 - Present
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
RIA
CRD#: 109591
Richmond, VA
Current
April 1, 2019 - Present
NYLIFE DISTRIBUTORS LLC
Office #1: 1408-a Roseneath Road, Richmond, VA 23230BD
CRD#: 35350
RICHMOND, VA
Past
June 19, 2020 - September 3, 2025
APOGEM CAPITAL LLC
RIA
CRD#: 309234
Richmond, VA
Past
April 1, 2019 - June 19, 2020
PRIVATE ADVISORS LLC
RIA
CRD#: 109247
RICHMOND, VA
Past
November 23, 2016 - December 31, 2018
ASPEN PARTNERS, LTD.
RIA
CRD#: 135287
RICHMOND, VA
Past
November 21, 2016 - March 26, 2019
FRONTIER SOLUTIONS, LLC
BD
CRD#: 136102
Richmond, VA
Past
December 19, 2014 - October 11, 2016
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
NEW YORK, NY
Past
December 18, 2014 - October 11, 2016
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NEW YORK, NY
Past
July 31, 2013 - October 22, 2014
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
NEW YORK, 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".
NY
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.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(3/15/2024)
RR
Alaska(3/15/2024)
RR
Arizona(3/15/2024)
RR
Arkansas(3/15/2024)
RR
California(3/15/2024)
RR
Colorado(3/15/2024)
RR
Connecticut(3/15/2024)
RR
Delaware(3/15/2024)
RR
District of Columbia(3/15/2024)
RR
Florida(3/15/2024)
RR
Georgia(3/15/2024)
RR
Hawaii(3/15/2024)
RR
Idaho(3/15/2024)
RR
Illinois(3/15/2024)
RR
Indiana(3/15/2024)
RR
Iowa(3/15/2024)
RR
Kansas(3/15/2024)
RR
Kentucky(3/15/2024)
RR
Louisiana(3/15/2024)
RR
Maine(3/15/2024)
RR
Maryland(3/15/2024)
RR
Massachusetts(3/15/2024)
RR
Michigan(3/15/2024)
RR
Minnesota(3/15/2024)
RR
Mississippi(3/15/2024)
RR
Missouri(3/15/2024)
RR
Montana(3/15/2024)
RR
Nebraska(3/15/2024)
RR
Nevada(3/15/2024)
RR
New Hampshire(3/15/2024)
RR
New Jersey(3/15/2024)
RR
New Mexico(3/15/2024)
RR
New York(3/15/2024)
RR
North Carolina(3/15/2024)
RR
North Dakota(3/15/2024)
RR
Ohio(3/18/2024)
RR
Oklahoma(3/15/2024)
RR
Oregon(3/15/2024)
RR
Pennsylvania(3/15/2024)
RR
Rhode Island(3/15/2024)
RR
South Carolina(3/15/2024)
RR
South Dakota(3/15/2024)
RR
Tennessee(3/15/2024)
RR
Texas(3/15/2024)
RR
Utah(3/15/2024)
RR
Vermont(3/15/2024)
RR
Virginia(4/1/2019)
IAR
Virginia(8/25/2025)
RR
Washington(3/15/2024)
RR
West Virginia(3/15/2024)
RR
Wisconsin(3/15/2024)
RR
Wyoming(3/15/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NY
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
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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
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.
