James William Hawes

New York Life Investment Management LLC

CRD 2303899

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Employer firm

New York Life Investment Management LLC CRD 109591

$121B regulatory AUM 1 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (pooled vehicles)
Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers

New York Life Investment Management Llc

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

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2002-05-22

MA RA
APPROVED

Since 2002-05-22

Branch Locations

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

Hingham, MA • 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

Organization	City	State	From	To
Lincoln Child Center	Oakland	CA	01/1991	Present
Nylife Distributors Llc	Parsippany	NJ	10/2003	Present

01/1991 → Present

Lincoln Child Center

Oakland, CA
10/2003 → Present

Nylife Distributors Llc

Parsippany, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-05-14
S63	Uniform Securities Agent State Law Examination	1996-04-30

S65 Uniform Investment Adviser Law Examination

2002-05-14
S63 Uniform Securities Agent State Law Examination

1996-04-30

Other Names

Jamie Hawes

View on SEC IAPD

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