Category: NY Life Securities

Paris Monte Lewis (CRD#: 2335964) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1994 and previously worked with Metropolitan Life Insurance Company; Metlife Securities, Inc.; and NYLife Securities, LLC. Current and Past Allegations of Conduct Leading to Investment Loss. According to publicly available records released by the […]

Marlyn McClain (CRD: 325415) is a registered Broker at NYLife Securities in Elkhorn, NE. Broker’s Background She entered the securities industry in 1974 and previously worked for New York Life Variable Contracts Corp. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority […]

Former NY Life Broker Esmeralda Espinoza Has Insurance Related Customer Complaint Broker’s Background She entered the securities industry in 2015 and previously worked for First Financial Equity Corporation; and NYLife Securities, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Kyle Wittgren (CRD#: 6221630) is a previously registered Broker. Broker’s Background He entered the securities industry in 2013 and previously worked for NY Life Securities, LLC, and OneAmerica Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December […]

Narith Long (CRD#: 6598152) is a previously registered Broker at NYLife Securities, LLC in Glendale, CA. He entered the securities industry in 2018 and previously worked for Northwestern Mutual Investment Services, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2021, a customer complaint was filed against Narith […]

Daniel Jossen (CRD#: 5463761) is a previously registered Broker and Investment Advisor at NYLife Securities, LLC in Bethesda, MD. He entered the securities industry in 2007 and previously worked for Park Avenue Securities, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2021, FINRA sanctioned Daniel Jossen, barring […]

William Humbarger (CRD #4294223) is a Financial Advisor at NY Life Securities in Indianaola, Mississippi. William Humbarger has been in the securities industry since 2000 and has been registered with NY Life the entirety of that time. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), William Humbarger has been the […]

Felix Chu (CRD # 2427593) was a Financial Advisor at NY Life Securities in Pleasant Hill, California. Felix Chu has been in the securities industry since 1994 and worked at NY Life his entire career. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 4, 2019, FINRA sanctioned Felix […]

William Hite (CRD # 1675972) was a Financial Advisor at NY Life Securities. William Hite has been in the securities industry since 1998 and previously worked for a number of brokerage firms, including Metlife Securities and Metropolitan Life Insurance Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March […]

Gabriel Hynes (CRD # 3152541) was a former Financial Advisor at NY Life Securities in St. Augustine, FL.  Gabriel Hynes has been in the securities industry since 1999 and previously worked at Kestra Investment Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on January 7, 2020, FINRA sanctioned Gabriel […]