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CE

Charles Ellis

NYLIFE SECURITIES
HYANNIS, MA 02601
Some features on this profile are disabled
CRD#: 7433406
CE

Professional summary

Charles Ellis, who also goes by Charles Harrison Ellis, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Hyannis, Massachusetts.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2022. Charles has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Harrison Ellis

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Ellis'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

May 26, 2026 - Present

NYLIFE SECURITIES LLC

Office #1: 1555 Iyannough Rd 2nd Fl, Hyannis, MA 02601
BD
CRD#: 5167
HYANNIS, MA
Past

June 14, 2023 - May 26, 2026

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
SOUTH ORLEANS, MA
Past

May 31, 2022 - May 26, 2026

NYLIFE SECURITIES LLC

BD
CRD#: 5167
SOUTH ORLEANS, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

RR
Arizona
(5/26/2026)
RR
Florida
(5/26/2026)
RR
Massachusetts
(5/26/2026)
RR
Texas
(5/26/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/2/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/20/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/31/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/1/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NYLIFE SECURITIES LLC
NEW YORK LIFE SECURITIES CORP. | NYLIFE SECURITIES LLC | NYLIFE SECURITIES INC. | NEW YORK LIFE VARIABLE CONTRACTS CORPORATION

CRD#: 5167 / SEC#: , 8-15517

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
51 Madison Ave. Room 713, New York, NY 10010
Mailing Address
51 Madison Avenue Room 713, New York, NY 10010
Phone number
(212) 576-7000
Established
Delaware since 01/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NYLIFE LLC.SHAREHOLDER
BAGTAS, ANGELA CHENELECTED MANAGER8172856
BOCCIO, JOHN MICHAELCHIEF EXECUTIVE OFFICER AND PRESIDENT4600977
DUARTE, DEBORAH LYNNELECTED MANAGER6090278
ENGELBRECHTSEN, TOM DAHLCORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER2908809
FEINBERG, AMARYA NMNELECTED MANAGER8162482
HUANG, DYLAN WEIELECTED MANAGER AND CHAIRMAN6233208
LOFTUS, PATRICIA ELIZABETHCORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER2156131
SCHWARTZ, RACHEL SABRINAVICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL8170474
TILLOTSON, SANDRA GELECTED MANAGER7617600
VIRENDRA, SONALI NMNELECTED MANAGER2404467
ZAMAN, NABEEDVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER6410914

Disclosures

Regulatory Event13
Arbitration7

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NYLIFE SECURITIES LLC

CRD#: 5167Hyannis, MA 02601

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