Louis J. Orlando
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.
Louis J Orlando III, who also goes by Louis J Orlando, Louis Joseph Orlando III, Louis Joseph Orlando, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1981. Louis had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2012 - September 5, 2018
NYLIFE SECURITIES LLC
October 10, 2011 - February 15, 2012
MKM PARTNERS LLC
May 13, 2009 - December 14, 2010
THE BENCHMARK COMPANY, LLC
November 18, 2005 - March 25, 2009
STANFORD GROUP COMPANY
February 27, 2002 - August 19, 2005
WELLS FARGO SECURITIES, LLC
February 8, 2000 - January 24, 2002
W.R. HAMBRECHT + CO., LLC
May 6, 1999 - January 7, 2000
VOLPE BROWN WHELAN & COMPANY, LLC
February 6, 1995 - April 9, 1999
DEUTSCHE BANK SECURITIES INC.
May 25, 1993 - January 17, 1995
KIDDER, PEABODY & CO. INCORPORATED
April 30, 1991 - May 21, 1993
CANTOR FITZGERALD & CO.
November 20, 1985 - May 15, 1991
UBS FINANCIAL SERVICES INC.
May 23, 1984 - September 3, 1985
TUCKER ANTHONY INCORPORATED
May 12, 1982 - April 30, 1984
E. F. HUTTON & COMPANY INC
February 23, 1981 - November 11, 1981
MORGAN STANLEY DW INC.
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
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
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.
