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James Richard Korn

New York Life Investment Management LLC

Basking Ridge, NJ

New York, NY

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Current Employers
New York Life Investment Management Llc

51 Madison Avenue, New York, NY 10010 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2011-10-03
  • NJ RA
    APPROVED
    Since 2011-10-03

Branch Locations

Basking Ridge, NJ • United States

51 Madison Avenue, New York, NY 10010 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
New York Life Investment Management Llc New York NY 07/2007 Present
Previous Registrations
Other Businesses

Rental property; 108 Glimmer Glass Circle, Manasquan, NJ 08736; owner; 2 hours per month not during normal business hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-02-22
S63 Uniform Securities Agent State Law Examination 2007-11-08
  • S65 Uniform Investment Adviser Law Examination
    2011-02-22
  • S63 Uniform Securities Agent State Law Examination
    2007-11-08
Other Names
  • James R Korn

View on SEC IAPD

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