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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
NJ RA APPROVED 2019-04-08
  • NJ RA
    APPROVED
    Since 2019-04-08

Branch Locations

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

South Amboy, NJ • 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
Four Springs Capital Lake Como NJ 05/2014 02/2018
Edi Financial Inc Lake Como NJ 05/2014 12/2016
Third Seven Capital, Llc (Dba Four Springs Capital) Lake Como NJ 01/2017 02/2018
Millington Securities, Inc. Red Bank NJ 02/2018 03/2019
Wbi Investments, Inc. Red Bank NJ 02/2018 03/2019
New York Life New York NY 04/2019 Present
  • 05/2014 → 02/2018
    Four Springs Capital
    Lake Como, NJ
  • 05/2014 → 12/2016
    Edi Financial Inc
    Lake Como, NJ
  • 01/2017 → 02/2018
    Third Seven Capital, Llc (Dba Four Springs Capital)
    Lake Como, NJ
  • 02/2018 → 03/2019
    Millington Securities, Inc.
    Red Bank, NJ
  • 02/2018 → 03/2019
    Wbi Investments, Inc.
    Red Bank, NJ
  • 04/2019 → Present
    New York Life
    New York, NY
Previous Registrations
Other Businesses

Temple Association; 30 M Main Street Milltown, NJ; Secretary; 2 hours per month not during normal business hours. RunByHQ; 30 N Gould Street Suite R Sheridan, WY 82801; not investment related; Business AI Consulting; 5 hours per month not during normal business hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-18
S63 Uniform Securities Agent State Law Examination 2016-12-15
  • S66 Uniform Combined State Law Examination
    2018-06-18
  • S63 Uniform Securities Agent State Law Examination
    2016-12-15
Other Names
  • Arty Jan Pearl
  • Artem Jan Pearl

View on SEC IAPD

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