Hugh R. Burton
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.
Hugh Randall Burton was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 1979. Hugh had worked at 10 firms and has passed the Series 65, Series 63 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 14, 2003 - May 3, 2012
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
May 14, 2003 - May 3, 2012
NYLIFE DISTRIBUTORS LLC
January 2, 2002 - April 12, 2002
NATIXIS DISTRIBUTION, LLC
October 4, 2001 - December 6, 2001
QUASAR DISTRIBUTORS, LLC
February 4, 1999 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
January 1, 1997 - May 2, 2003
JURIKA & VOYLES LP
February 15, 1995 - October 29, 1998
FIRST FUND DISTRIBUTORS, INC.
August 19, 1993 - March 3, 1995
SEI INVESTMENTS DISTRIBUTION CO.
November 9, 1992 - February 5, 1993
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 23, 1981 - September 22, 1992
RAYMOND JAMES & ASSOCIATES, INC.
November 26, 1979 - April 15, 1981
NIES/BRAUER SECURITIES, INC.
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
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
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
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.
