David J. Levin
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.
David J Levin, who also goes by David J Levin, David James Levin, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, PC, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2018 - September 10, 2018
NYLIFE SECURITIES LLC
May 11, 2016 - December 11, 2017
VANDERBILT ADVISORY SERVICES
April 13, 2016 - December 11, 2017
VANDERBILT SECURITIES, LLC
November 23, 2015 - April 13, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
October 30, 2015 - April 13, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
March 13, 2007 - October 30, 2015
OPPENHEIMER & CO. INC.
February 21, 2006 - October 30, 2015
OPPENHEIMER & CO. INC.
April 29, 2002 - March 7, 2006
RYAN BECK & CO.
February 1, 1999 - May 20, 2002
GRUNTAL & CO., L.L.C.
September 19, 1997 - January 29, 1999
CIBC WORLD MARKETS CORP.
January 29, 1997 - September 15, 1997
BLUESTONE CAPITAL CORP.
June 19, 1996 - February 3, 1997
LAIDLAW GLOBAL SECURITIES, INC.
October 11, 1995 - June 17, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 1994 - September 29, 1995
CITIGROUP GLOBAL MARKETS INC.
March 21, 1994 - July 25, 1994
J.P. MORGAN SECURITIES LLC
November 30, 1984 - March 10, 1994
LEHMAN BROTHERS INC.
February 14, 1982 - January 11, 1985
E. F. HUTTON & COMPANY INC
April 21, 1977 - November 28, 1984
E. F. HUTTON & COMPANY 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 5
Date: 10/2/1981
Interest Rate Options ExaminationPC
Date: 4/1/1977
AMEX Put and Call ExamCurrent 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
