Full text of NYLIFE SECURITIES LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **NYLIFE Securities LLC** (An affiliate of New York Life Insurance Company) Statement of Financ,ial Condition December 31, 2020 {1}------------------------------------------------ **UNITED ST A TES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-01 23 Expires: October 31, 2023 Estimated average burden hours per response .• .. . . 12.00 SEC FILE NUMBER 8-15517 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l 7a-5 Thereunder** | REPORT FOR TH E PERIO D BEGINNING | __<br>0_1_/0_1 /_2_0_2_0 _ | __<br>AN D END!NG | __<br>__<br>12_/_3_1_/2_0_2_0<br>_ | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------|---------------------|--------------------------------------------------|--|--| | | MM/DD/YY | | M M/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: NYLIFE Securities LLC | | | OFFICIAL USE ONLY | | | | ADDRESS O F PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | FIRM 1.0. NO. | | | | | | 51 Madison Avenue<br>New York, | NY 10010 | | | | | | | (No. and Street) | | | | | | (City) | (State) | | (Zip Code) | | | | NAME AND T ELEPHONE NUM BER O F PERSON TO CONTACT IN REGARD TO TH IS REPORT<br>Patricia Loftus | | | (212) 576-5618<br>(Area Code - Telephone Number) | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>PricewaterhouseCoopers LLP | | | | | | | | (Name - if individual. state last. | first. middle name) | | | | | 300 Madison Avenue | New York | NY | 10017 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE:<br>j ,/ I cert<br>ified Public Accountant<br>DPublic Accountant<br>D<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. I 7a-5(e)(2)* > **Potential persons who are to respond to the collection of information…Read the full text as markdown