Gobind Prasad Upadhyay
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gobind Prasad Upadhyay, who also goes by Gobind Prasadupadhya, Gobind Upadhyay, Gobind P Upadhyay, Gobind Prasad Upadhyay, Gobindprasad Upadhyay, was a registered financial professional .
Gobind Prasad is a previously registered financial professional and started their career in finance in 2019. Gobind Prasad had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2024 - March 31, 2025
NYLIFE SECURITIES LLC
April 13, 2023 - February 2, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2023 - February 2, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2022 - February 28, 2023
CETERA INVESTMENT ADVISERS LLC
June 23, 2022 - February 28, 2023
CETERA INVESTMENT SERVICES LLC
February 10, 2022 - February 15, 2022
J.P. MORGAN SECURITIES LLC
February 10, 2022 - February 15, 2022
J.P. MORGAN SECURITIES LLC
December 16, 2020 - December 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 2020 - December 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 2019 - June 24, 2020
J.P. MORGAN SECURITIES 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 7TO
Date: 10/7/2020
General Securities Representative ExaminationSeries 6TO
Date: 4/22/2019
Investment Company Products/Variable Contracts 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
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.
