Frederic K. Egy
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.
Frederic Kent Egy was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 1970. Frederic had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2010 - April 10, 2012
NYLIFE SECURITIES LLC
April 1, 2008 - December 16, 2009
LPL FINANCIAL LLC
January 1, 2008 - March 5, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 12, 2004 - January 3, 2008
A. G. EDWARDS & SONS, INC.
October 16, 2003 - September 29, 2004
MORGAN STANLEY DW INC.
May 23, 2003 - September 29, 2004
MORGAN STANLEY DW INC.
January 1, 2002 - May 23, 2003
LOCUST STREET SECURITIES, INC.
May 2, 2001 - January 1, 2002
BMA FINANCIAL SERVICES, INC.
February 24, 1999 - May 16, 2001
NYLIFE SECURITIES LLC
May 29, 1997 - February 16, 1999
SUNSET FINANCIAL SERVICES, INC.
February 20, 1986 - June 6, 1997
BMA FINANCIAL SERVICES, INC.
February 23, 1977 - January 1, 1979
TIME EQUITIES, INC.
December 28, 1970 - November 11, 1976
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 1
Date: 2/18/1969
Registered 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.
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