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Category NY Life Securities

Former NYLife Securities Broker Narith Long Has Five Customer Complaint Disclosures, Alleging Sales Practice Misconduct

August 17, 2021

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…

Former NYLife Securities Financial Advisor Daniel Jossen Barred By FINRA For Alleged Sales Practice Misconduct

July 10, 2021

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…

NY Life Securities Broker, William Humbarger, Has Four Customer Complaint Disclosures Alleging Sales Practice Misconduct

December 13, 2020

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…

Former NY Life Securities Broker, Felix Chu, Barred By FINRA After Failing To Cooperate With Investigation

April 19, 2020

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…

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