Robert J. Ledone
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.
Robert Joseph Ledone JR was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 13 firms and has passed the Series 63, SIE, Series 25, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2008 - April 6, 2018
NYLIFE SECURITIES LLC
October 31, 2007 - August 29, 2008
IFMG SECURITIES, INC.
February 23, 2005 - December 7, 2005
LABRANCHE FINANCIAL SERVICES, LLC
February 2, 2005 - April 30, 2007
C. J. LEDONE EQUITIES, INC.
June 30, 1999 - November 22, 2004
J.P. MORGAN SECURITIES LLC
June 7, 1999 - June 18, 1999
HOWE BARNES HOEFER & ARNETT, INC.
September 1, 1998 - April 14, 1999
MIDWOOD SECURITIES, INC.
May 28, 1991 - December 6, 1996
YAMAICHI INTERNATIONAL (AMERICA) INC.
February 28, 1989 - July 26, 1990
FIRST SWISS INTERNATIONAL SECURITIES CORPORATION
March 24, 1988 - March 2, 1989
INDIVIDUAL'S SECURITIES LTD.
March 17, 1986 - April 28, 1988
HAMILTON, GRANT & COMPANY, INC.
February 5, 1986 - March 5, 1986
FIRST JERSEY SECURITIES, INC.
March 23, 1981 - April 5, 1983
LEHMAN BROTHERS 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
Series 25
Date: 2/8/2000
NYSE Trading Assistant 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.
