Yu Shen
Professional summary
Yu Shen, who also goes by Yu Brandy Shen, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Bellevue, Washington.
Yu is registered as a RR (Registered Representative) and started their career in finance in 2017. Yu has worked at 6 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yu Shen's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 22, 2026 - Present
NYLIFE SECURITIES LLC
Office #1: 10885 Ne 4th Street Suite 1400, Bellevue, WA 98004April 23, 2019 - January 6, 2021
TD AMERITRADE, INC.
February 27, 2018 - April 16, 2018
CETERA INVESTMENT ADVISERS LLC
February 27, 2018 - April 16, 2018
CETERA INVESTMENT SERVICES LLC
November 30, 2017 - January 30, 2018
J.P. MORGAN SECURITIES LLC
November 30, 2017 - January 30, 2018
J.P. MORGAN SECURITIES LLC
June 23, 2017 - December 1, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 20, 2017 - December 1, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 5/22/2026
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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 |
| 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 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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