Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Investment Adviser Firm Summary
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ( CRD # 109591/SEC#:801-57396 )
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC, NYLI, NEW YORK LIFE INVESTMENTS, NEW YORK LIFE INVESTMENT MANAGEMENT LLC
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved3/20/2000
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama2/25/2002
Alaska3/1/2002
Arizona2/25/2002
Arkansas2/27/2002
California2/25/2002
Colorado2/25/2002
Connecticut10/2/2001
Delaware3/31/2003
District of Columbia2/26/2002
Florida2/26/2002
Georgia11/28/2001
Hawaii2/25/2002
Idaho2/25/2002
Illinois3/1/2002
Indiana2/25/2002
Iowa3/4/2002
Kansas2/25/2002
Kentucky11/28/2001
Louisiana2/25/2002
Maine2/25/2002
Maryland2/25/2002
Massachusetts10/2/2001
Michigan2/25/2002
Minnesota3/6/2002
Mississippi2/25/2002
Missouri2/26/2002
Montana2/25/2002
Nebraska2/25/2002
Nevada2/25/2002
New Hampshire2/26/2002
New Jersey11/1/2001
New Mexico3/12/2002
New York2/25/2002
North Carolina2/25/2002
North Dakota2/25/2002
Ohio2/25/2002
Oklahoma4/15/2002
Oregon2/25/2002
Pennsylvania10/2/2001
Puerto Rico2/25/2002
Rhode Island2/25/2002
South Carolina2/25/2002
South Dakota2/26/2002
Tennessee10/25/2001
Texas2/26/2002
Utah2/27/2002
Vermont2/25/2002
Virgin Islands3/30/2020
Virginia10/2/2001
Washington2/25/2002
West Virginia10/9/2001
Wisconsin2/25/2002
Wyoming3/30/2020
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.