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AC

Alicia E. Cardona

NYLIFE SECURITIES LLC
Dallas, TX 75244
Some features on this profile are disabled
CRD#: 6545051
AC

Professional summary

Alicia E Cardona, who also goes by Alicia E Cardona, Alicia Eileen Cardona, Alicia Eileen Larkin, Alicia Eileen Mercado, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Dallas, Texas.

Alicia is registered as a RR (Registered Representative) and started their career in finance in 2018. Alicia has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alicia E Cardona | Alicia Eileen Cardona | Alicia Eileen Larkin | Alicia Eileen Mercado

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.
1. ABSOLUTE FINANCIAL PLANNING LLC POSITION: Registered Client Admin NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/15/2022 ADDRESS: 1015 Beecave Woods Dr., Ste 201, Austin TX 78746, United States DESCRIPTION: I am a registered rep who places trades, does new account and money movement paperwork and interacts with clients. I handle all aspects of client relationships within the business.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alicia E Cardona'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

September 11, 2025 - Present

NYLIFE SECURITIES LLC

Office #1: 5005 Lyndon B Johnson Freeway Suite 1600, Dallas, TX 75244
BD
CRD#: 5167
Dallas, TX
Past

October 24, 2022 - May 18, 2025

OSAIC WEALTH, INC.

RIA
CRD#: 23131
AUSTIN, TX
Past

October 21, 2022 - May 18, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
AUSTIN, TX
Past

November 29, 2021 - August 18, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Winter Park, FL
Past

June 7, 2021 - August 18, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Winter Park, FL
Past

July 20, 2018 - December 23, 2019

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Orlando, FL

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
Texas
(9/12/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/26/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/27/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/2018
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NYLIFE LLC.SHAREHOLDER
BAGTAS, ANGELA CHENELECTED MANAGER8172856
BOCCIO, JOHN MICHAELCHIEF EXECUTIVE OFFICER AND PRESIDENT4600977
DUARTE, DEBORAH LYNNELECTED MANAGER6090278
ENGELBRECHTSEN, TOM DAHLCORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER2908809
FEINBERG, AMARYA NMNELECTED MANAGER8162482
GARDNER, ROBERT MICHAELELECTED MANAGER6160318
HUANG, DYLAN WEIELECTED MANAGER AND CHAIRMAN6233208
LOFTUS, PATRICIA ELIZABETHCORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER2156131
SCHWARTZ, RACHEL SABRINAVICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL8170474
TILLOTSON, SANDRA GELECTED MANAGER7617600
ZAMAN, NABEEDVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER6410914

Disclosures

Regulatory Event13
Arbitration7

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.

Company Information

NYLIFE SECURITIES LLC

CRD#: 5167Dallas, TX 75244

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