Harrison L. Blackwell
Professional summary
Harrison Lee Blackwell was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Harrison Lee Blackwell was a registered financial advisor .
Harrison is a previously registered financial advisor and started their career in finance in 1980. Harrison had worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2009 - September 20, 2010
NYLIFE SECURITIES LLC
October 10, 2007 - June 3, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
October 10, 2007 - June 3, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
January 23, 2006 - October 17, 2007
A. G. EDWARDS & SONS, INC.
January 23, 2006 - October 17, 2007
A. G. EDWARDS & SONS, INC.
December 2, 2005 - January 31, 2006
ANDERSON & STRUDWICK, INCORPORATED
December 2, 2005 - January 31, 2006
ANDERSON & STRUDWICK, INCORPORATED
March 19, 2003 - December 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2003 - December 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 6, 1995 - October 4, 1995
WACHOVIA SECURITIES, INC.
February 6, 1995 - April 12, 1995
NATIONSSECURITIES
December 19, 1991 - January 11, 1995
J.C. BRADFORD & CO.
June 18, 1983 - October 4, 1983
MARION BASS SECURITIES CORPORATION
April 8, 1981 - August 6, 1982
EDWARD JONES
February 22, 1980 - May 24, 1981
AMERICAN EXPRESS FINANCIAL CORPORATION
February 22, 1980 - May 24, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
February 22, 1980 - May 24, 1981
IDS LIFE INSURANCE COMPANY
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 1
Date: 2/11/1980
Registered Representative ExaminationCurrent 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 |
| 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
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