NYLIFE SECURITIES LLC - FINRA
https://files.brokercheck.finra.org/firm/firm_5167.pdf
CRD# 5167About BrokerCheck®Report Summary for this FirmFirm HistoryDisclosure EventsFirm Names and LocationsFirm ProfileDirect Owners and Executive OfficersLegal Name & CRD# (if any):Percentage of OwnershipDirect Owners and ExecutiveDirect Owners and Executive Officers (continued)PositionIndirect OwnersFirm HistorySEC Registration QuestionsTypes of BusinessClearing ArrangementsIntroducing ArrangementsIndustry ArrangementsDescription: Yes WHOLLY OWNED SUBSIDIARY OF NYLIFE LLC. MACKAY SHIELDS LLC is under common control with the firm. NYLIFE LLC controls the firm. This firm is not directly or indirectly, controlled by the following: · bank holding company Firm Operations Organization Affiliates (continued) national bank state member bank of the Federal Reserve System state non-me... File Size: 205KB Page Count: 66
Yes WHOLLY OWNED SUBSIDIARY OF NYLIFE LLC. MACKAY SHIELDS LLC is under common control with the firm. NYLIFE LLC controls the firm. This firm is not directly or indirectly, controlled by the following: · bank holding company Firm Operations Organization Affiliates (continued) national bank state member bank of the Federal Reserve System state non-me...
File Size: 205KB
Page Count: 66
DA: 95 PA: 45 MOZ Rank: 20