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Jeffrey Michael Findling

New York Life Investment Management LLC

New York, NY

Marietta, GA

CRD 1200019

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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

AuthorityCategoryStatusDate
GA RA APPROVED 2022-02-10
  • GA RA
    APPROVED
    Since 2022-02-10

Branch Locations

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

Marietta, GA • 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 Parsippany NJ 04/2006 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-01-11
S63 Uniform Securities Agent State Law Examination 1998-10-06
  • S65 Uniform Investment Adviser Law Examination
    2002-01-11
  • S63 Uniform Securities Agent State Law Examination
    1998-10-06

View on SEC IAPD

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