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BL

Bernardo F. Lozano

NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Miami, FL
Some features on this profile are disabled
CRD#: 720476
BL

Professional summary

Bernardo Fidel Lozano, who also goes by Bernie Lozano, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Miami, Florida and NYLIFE DISTRIBUTORS LLC located in Merrick, New York.

Bernardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Bernardo has worked at 22 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 6, Series 3, Series 15 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bernie Lozano

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.
ACTIVA CAPITAL GROUP. INVESTMENT RELATED. MIAMI FLORIDA. PRINCIPAL. FEBRUARY 2024.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bernardo Fidel Lozano'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

April 18, 2025 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
Miami, FL
Current

May 28, 2025 - Present

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
Merrick, NY
Past

October 29, 2024 - November 12, 2024

AFFILIATED CAPITAL

RIA
CRD#: 329931
CORAL GABLES, FL
Past

July 9, 2024 - August 22, 2024

STANDARD RULES, LLC

RIA
CRD#: 328127
MIAMI, FL
Past

February 9, 2024 - November 7, 2024

ACTIVA CAPITAL

RIA
CRD#: 307250
MIAMI, FL
Past

October 31, 2019 - October 12, 2022

PARTICIPANT CAPITAL

RIA
CRD#: 304859
MIAMI, FL
Past

September 4, 2019 - May 5, 2020

ORCHARD SECURITIES, LLC

BD
CRD#: 133378
PLEASANT GROVE, UT
Past

June 21, 2019 - August 7, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
Miami, FL
Past

January 18, 2019 - August 7, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
Miami, FL
Past

June 18, 2014 - November 29, 2016

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

June 18, 2014 - November 29, 2016

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

February 14, 2013 - June 24, 2014

EMG CAPITAL LLC

BD
CRD#: 159054
MIAMI, FL
Past

May 23, 2011 - May 23, 2012

ACTIVA CAPITAL MARKETS, INC.

BD
CRD#: 42619
MIAMI, FL
Past

February 20, 2008 - October 4, 2010

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

May 29, 2006 - December 21, 2007

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
RICHMOND, VA
Past

August 24, 1995 - May 16, 2005

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA
Past

January 30, 1987 - February 12, 1990

NATIONSBANC SECURITIES OF GEORGIA, INC.

BD
CRD#: 315
Past

May 6, 1986 - March 2, 1987

AMERIFIRST SECURITIES CORPORATION

BD
CRD#: 10711
Past

December 6, 1984 - February 22, 1986

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
Past

June 2, 1983 - December 18, 1984

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

March 23, 1983 - September 9, 1983

GLOBAL INVESTOR SECURITIES, INC.

BD
CRD#: 7514
Past

December 17, 1980 - May 23, 1983

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
Past

December 17, 1980 - May 23, 1983

SIGNATOR INVESTORS, INC.

BD
CRD#: 468

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

IAR
Florida
(4/18/2025)
RR
Florida
(5/28/2025)
RR
New York
(5/28/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/18/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/19/2019
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/27/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/19/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/26/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/23/1995
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/3/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 15
Date: 5/10/1984
Foreign Currency Options Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/26/2002
Investment Company Products/Variable Contracts Principal Examination
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
Registered Investment Advisory firm - (3/20/2000 Approved)
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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)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts1,047
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.

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591Miami, FL

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