PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 23, 2026, 11:52 PM ET

Sponsor Check › Person

Thomas A. Hendry

Related person on Form D filings · address state as listed: NY · listed Jan 14, 2014 → Mar 11, 2026

4issuers
92Form D filings
2014–2026years listed

Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: not yet · SEC enforcement last checked: not yet

Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.

Key records

The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.

1. Lawsuits

Not yet searched.

Sources to be searched: CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Search queued. Results are added automatically; check back later or follow this page to be notified.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.

Not yet searched.

Search queued. Results are added automatically; check back later or follow this page to be notified.

3. Bankruptcies

Not yet searched.

Sources to be searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Search queued. Results are added automatically; check back later or follow this page to be notified.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons are made for sponsors and sponsor groups, not individual people.

5. Money to insiders and sales commissions

10 of 27 offerings report sales commissions totalling $254,185,131; 0 report finder's fees; 0 report proceeds to related persons.

SourceOffering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell it
EDGAR ↗Mar 11, 2026 D
File 021-576134
$51,178,310$0$0M Holdings Securities Inc. BrokerCheck CRD 43285 ↗
via M Holdings Securities Inc. (CRD 43285 ↗)

Clark Securities Inc. BrokerCheck CRD 43803 ↗
via Clark Securities Inc. (CRD 43803 ↗)

Northwestern Mutual Investment Services, LLC BrokerCheck CRD 2881 ↗
via Northwestern Mutual Investment Services, LLC (CRD 2881 ↗)

TBG Financial & Insurance Services BrokerCheck CRD 26984 ↗
via TBG Financial & Insurance Services (CRD 26984 ↗)

Executive Services Securities BrokerCheck CRD 25299 ↗
via Executive Services Securities (CRD 25299 ↗)

Tower Square Securities Inc. BrokerCheck CRD 833 ↗
via Tower Square Securities Inc. (CRD 833 ↗)

FAS Corp. BrokerCheck CRD 43536 ↗
via FAS Corp. (CRD 43536 ↗)

ValMark Securities, Inc. BrokerCheck CRD 31243 ↗
via ValMark Securities, Inc. (CRD 31243 ↗)

Newport Group Securities, Inc. BrokerCheck CRD 29722 ↗
via Newport Group Securities, Inc. (CRD 29722 ↗)

NYLIFE Securities LLC BrokerCheck CRD 5167 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

Douglas Forstrom BrokerCheck CRD 1155360 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

MAG Financial Inc. BrokerCheck CRD 36327 ↗
via MAG Financial Inc. (CRD 36327 ↗)

Manor House Capital, LLC BrokerCheck CRD 140863 ↗
via Manor House Capital, LLC (CRD 140863 ↗)

Lincoln Financial Advisors Corp. BrokerCheck CRD 3978 ↗
via Lincoln Financial Advisors Corp. (CRD 3978 ↗)

MML Investors Services, Inc. BrokerCheck CRD 10409 ↗
via MML Investors Services, Inc. (CRD 10409 ↗)

Deutsche Bank Securities Inc. BrokerCheck CRD 2525 ↗
via Deutsche Bank Securities Inc. (CRD 2525 ↗)

Ross Securities Corporation BrokerCheck CRD 113796 ↗
via Ross Securities Corporation (CRD 113796 ↗)

Park Avenue Securities LLC BrokerCheck CRD 46173 ↗
via Park Avenue Securities LLC (CRD 46173 ↗)

Wealth Preservation Associates LLC BrokerCheck CRD 35277 ↗
via Wealth Preservation Associates LLC (CRD 35277 ↗)

First Liberties Financial BrokerCheck CRD 14432 ↗
via First Liberties Financial (CRD 14432 ↗)

Oglivie Security Advisors Corporation BrokerCheck CRD 10105 ↗
via Oglivie Security Advisors Corporation (CRD 10105 ↗)

World Equity Group, Inc. BrokerCheck CRD 29087 ↗
via World Equity Group, Inc. (CRD 29087 ↗)

NYLINK Insurance Agency Incorporated no CRD number reported
via NYLIFE Securities, LLC (CRD 5167 ↗)

James M. Foyt BrokerCheck CRD 3152720 ↗
via Northwestern Mutual Investment Services, LLC (CRD 2881 ↗)

Russell H. Vandevelde BrokerCheck CRD 2030209 ↗
via Northwestern Mutual Investment Services, LLC (CRD 2881 ↗)

Phillip Pickett BrokerCheck CRD 4739154 ↗
via Northwestern Mutual Investment Services, LLC (CRD 2881 ↗)

Domenic Matthew Dipiero BrokerCheck CRD 4772723 ↗
via NCG Securities, LLC (CRD 160481 ↗)

Kestra Investment Services LLC BrokerCheck CRD 42046 ↗
via Kestra Investment Services LLC (CRD 42046 ↗)

MSI Financial Services Inc BrokerCheck CRD 14251 ↗
via MSI Financial Services Inc (CRD 14251 ↗)

UBS Financial Services Inc BrokerCheck CRD 8174 ↗
via UBS Financial Services Inc (CRD 8174 ↗)

OneAmerica Securities, Inc. BrokerCheck CRD 4173 ↗
via OneAmerica Securities, Inc. (CRD 4173 ↗)

Morgan Stanley Ins Services BrokerCheck CRD 149777 ↗
via Morgan Stanley Ins Services (CRD 149777 ↗)

MML Insurance Agency, Inc. BrokerCheck CRD 168638 ↗
via MML Insurance Agency, Inc. (CRD 168638 ↗)

Triad Insurance, Inc. BrokerCheck CRD 25803 ↗
via Triad Advisors LLC (CRD 25803 ↗)

Cetera Advisor Networks, LLC BrokerCheck CRD 13572 ↗
via Cetera Advisor Networks, LLC (CRD 13572 ↗)

USI Securities, Inc. BrokerCheck CRD 43793 ↗
via USI Securities, Inc. (CRD 43793 ↗)

Ascensus Broker Dealer Services, LLC BrokerCheck CRD 36478 ↗
via Ascensus Broker Dealer Services, LLC (CRD 36478 ↗)

Cetera Advisors, LLC BrokerCheck CRD 10299 ↗
via Cetera Advisors, LLC (CRD 10299 ↗)
EDGAR ↗Mar 11, 2026 D
File 021-576136
$27,728,781$0$0M Holdings Securities Inc. BrokerCheck CRD 43285 ↗
via M Holdings Securities Inc. (CRD 43285 ↗)

ValMark Securities, Inc. BrokerCheck CRD 31243 ↗
via ValMark Securities, Inc. (CRD 31243 ↗)

Newport Group Securities, Inc. BrokerCheck CRD 29722 ↗
via Newport Group Securities, Inc. (CRD 29722 ↗)

NFP Advisor Services, LLC BrokerCheck CRD 42046 ↗
via NFP Advisor Services, LLC (CRD 42046 ↗)

Executive Services Securities BrokerCheck CRD 25299 ↗
via Executive Services Securities (CRD 25299 ↗)

Tower Square Securities Inc. BrokerCheck CRD 833 ↗
via Tower Square Securities Inc. (CRD 833 ↗)

FAS Corp. BrokerCheck CRD 43536 ↗
via FAS Corp. (CRD 43536 ↗)

NYLIFE Securities, Inc. BrokerCheck CRD 5167 ↗
via NYLIFE Securities, Inc. (CRD 5167 ↗)

Douglas Forstrom BrokerCheck CRD 1155360 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

Kestra Investment Services LLC BrokerCheck CRD 42046 ↗
via Kestra Investment Services LLC (CRD 42046 ↗)

UBS Financial Services BrokerCheck CRD 8174 ↗
via UBS Financial Services (CRD 8174 ↗)

Triad Insurance, Inc. BrokerCheck CRD 25803 ↗
via Triad Insurance, Inc. (CRD 25803 ↗)

Cetera Advisor Networks, LLC BrokerCheck CRD 13572 ↗
via Cetera Advisor Networks, LLC (CRD 13572 ↗)

Cetera Advisors, LLC BrokerCheck CRD 10299 ↗
via Cetera Advisors, LLC (CRD 10299 ↗)

Triad Advisors LLC BrokerCheck CRD 25803 ↗
via Triad Advisors LLC (CRD 25803 ↗)

USI Securities, Inc. BrokerCheck CRD 43793 ↗
via USI Securities, Inc. (CRD 43793 ↗)

Northwestern Mutual Investment Services BrokerCheck CRD 2881 ↗
via Northwestern Mutual Investment Services (CRD 2881 ↗)

Ascensus Broker Dealer Services, LLC BrokerCheck CRD 36478 ↗
via Ascensus Broker Dealer Services, LLC (CRD 36478 ↗)
EDGAR ↗Mar 11, 2026 D
File 021-576137
$46,982,918$0$0Newport Group Securities Inc. BrokerCheck CRD 29722 ↗
via Newport Group Securities,Inc. (CRD 29722 ↗)

M Holdings Securities, Inc BrokerCheck CRD 43285 ↗
via M Holdings Securities, Inc. (CRD 43285 ↗)

Kestra Investment Services LLC. BrokerCheck CRD 42046 ↗
via Kestra Investment Services LLC (CRD 42046 ↗)

Northwestern Mutual Investment Services LLC BrokerCheck CRD 2881 ↗
via Northwestern Mutual Investment Services LLC (CRD 2881 ↗)

Morgan Stanley Insurance Services, Inc. BrokerCheck CRD 149777 ↗
via Morgan Stanley Insurance Services, Inc. (CRD 149777 ↗)

VALMARK SECURITIES, INC. BrokerCheck CRD 31243 ↗
via VALMARK SECURITIES, INC. (CRD 31243 ↗)

CARRIE HALL BrokerCheck CRD 1405784 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

Triad Insurance, Inc. BrokerCheck CRD 25803 ↗
via Triad Advisors LLC. (CRD 25803 ↗)

Lion Street Financial LLC BrokerCheck CRD 165828 ↗
via Lion Street Financial LLC (CRD 165828 ↗)

USI Securities, Inc. BrokerCheck CRD 43793 ↗
via USI Securities, Inc. (CRD 43793 ↗)

Ascensus Broker Dealer Services, LLC BrokerCheck CRD 36478 ↗
via Ascensus Broker Dealer Services, LLC (CRD 36478 ↗)

Executive Insurance Agency BrokerCheck CRD 31243 ↗
via Valmark Securities, Inc. (CRD 31243 ↗)

The Leaders Group BrokerCheck CRD 37157 ↗
via The Leaders Group (CRD 37157 ↗)

Capacuity Securities Inc. BrokerCheck CRD 15384 ↗
via Capacuity Securities Inc. (CRD 15384 ↗)

OSAIC Wealth, Inc. BrokerCheck CRD 23131 ↗
via OSAIC Wealth, Inc. (CRD 23131 ↗)
EDGAR ↗Mar 11, 2026 D
File 021-576205
$3,000,000$0$0Kenneth D. Miller no CRD number reported
via NYLIFE Securities Inc. (CRD 5167 ↗)

Raymond Schoenke no CRD number reported
via Schoenke & Associates Securities Corp (CRD 31245 ↗)

Clark Consulting no CRD number reported
via Clark Securities Inc. (CRD 43803 ↗)

TBG Financial& Insurance Services BrokerCheck CRD 26984 ↗
via TBG Financial & Insurance Services (CRD 26984 ↗)

Executive Services Securities BrokerCheck CRD 25299 ↗
via Executive Services Securities (CRD 25299 ↗)

Tower Square Securities Inc. BrokerCheck CRD 833 ↗
via Tower Square Securities Inc. (CRD 833 ↗)

FAS Corp. BrokerCheck CRD 43536 ↗
via FAS Corp. (CRD 43536 ↗)

ValMark Securities, Inc. BrokerCheck CRD 31243 ↗
via ValMark Securities, Inc. (CRD 31243 ↗)

Newport Group Securities, Inc. BrokerCheck CRD 29722 ↗
via Newport Group Securities, Inc. (CRD 29722 ↗)

NYLIFE Securities LLC BrokerCheck CRD 5167 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

Douglas Forstrom BrokerCheck CRD 1155360 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

Triad Insurance, Inc. BrokerCheck CRD 25803 ↗
via Triad Insurance, Inc. (CRD 25803 ↗)

Cetera Advisor Networks, LLC BrokerCheck CRD 13572 ↗
via Cetera Advisor Networks, LLC (CRD 13572 ↗)

Lincoln Financial Advisors Corp. BrokerCheck CRD 3978 ↗
via Lincoln Financial Advisors Corp. (CRD 3978 ↗)

MML Investors Services, Inc. BrokerCheck CRD 10409 ↗
via MML Investors Services, Inc. (CRD 10409 ↗)

Deutsche Bank Securities Inc. BrokerCheck CRD 2525 ↗
via Deutsche Bank Securities Inc. (CRD 2525 ↗)

Ross Securities Corporation BrokerCheck CRD 113796 ↗
via Ross Securities Corporation (CRD 113796 ↗)

Park Avenue Securities LLC BrokerCheck CRD 46173 ↗
via Park Avenue Securities LLC (CRD 46173 ↗)

M Holdings Securities Inc. BrokerCheck CRD 43285 ↗
via M Holdings Securities Inc. (CRD 43285 ↗)

Wealth Preservation Associates LLC BrokerCheck CRD 35277 ↗
via Wealth Preservation Associates LLC (CRD 35277 ↗)

NYLIFE Securities LLC BrokerCheck CRD 5167 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

First Liberties Financial BrokerCheck CRD 14432 ↗
via First Liberties Financial (CRD 14432 ↗)

Oglivie Security Advisors Corporation BrokerCheck CRD 10105 ↗
via Oglivie Security Advisors Corporation (CRD 10105 ↗)

World Equity Group, Inc. BrokerCheck CRD 29087 ↗
via World Equity Group, Inc. (CRD 29087 ↗)

LPL Financial LLC BrokerCheck CRD 6413 ↗
via LPL Financial LLC (CRD 6413 ↗)

Lion Street Financial BrokerCheck CRD 165828 ↗
via Lion Street Financial (CRD 165828 ↗)

Kestra Investment Services LLC BrokerCheck CRD 42046 ↗
via Kestra Investment Services LLC (CRD 42046 ↗)
EDGAR ↗Mar 11, 2026 D
File 021-576206
$6,417,020$0$0Walnut Street Securities, Inc. BrokerCheck CRD 15840 ↗
via Walnut Street Securities, Inc. (CRD 15840 ↗)

Valmark Securities, Inc. BrokerCheck CRD 31243 ↗
via Valmark Securities, Inc. (CRD 31243 ↗)

Investors Capital Corporation BrokerCheck CRD 30613 ↗
via Investors Capital Corporation (CRD 30613 ↗)

Northwestern Mutual Investment Services, LLC BrokerCheck CRD 2881 ↗
via Northwestern Mutual Investment Services, Inc. (CRD 2881 ↗)

NYLINK Insurance Agency Incorporated no CRD number reported
via NYLIFE Securities, LLC (CRD 5167 ↗)

Royal Alliance Associates BrokerCheck CRD 23131 ↗
via Royal alliance Associates (CRD 23131 ↗)

American Portfolios Financial Services BrokerCheck CRD 18487 ↗
via American Portfolios Financial Services (CRD 18487 ↗)

New Investors World, Inc. BrokerCheck CRD 109356 ↗
via New Investors World, Inc. (CRD 109356 ↗)

NFP Securities, Inc. BrokerCheck CRD 42046 ↗
via NFP Securities, Inc. (CRD 42046 ↗)

Stern Capital LLC BrokerCheck CRD 131226 ↗
via Stern Capital LLC (CRD 131226 ↗)

First Montauk Securities Corp. BrokerCheck CRD 13755 ↗
via First Montauk Securities Corp. (CRD 13755 ↗)

MAG Financial Inc. BrokerCheck CRD 36327 ↗
via MAG Financial Inc. (CRD 36327 ↗)

Manor House Capital, LLC BrokerCheck CRD 140863 ↗
via Manor House Capital, LLC (CRD 140863 ↗)

Lincoln Financial Advisors Corp. BrokerCheck CRD 3978 ↗
via Lincoln Financial Advisors Corp. (CRD 3978 ↗)

MML Investors Services, Inc. BrokerCheck CRD 10409 ↗
via MML Investors Services, Inc. (CRD 10409 ↗)

Deutsche Bank Securities Inc. BrokerCheck CRD 2525 ↗
via Deutsche Bank Securities Inc. (CRD 2525 ↗)

Ross Securities Corporation BrokerCheck CRD 113796 ↗
via Ross Securities Corporation (CRD 113796 ↗)

Park Avenue Securities LLC BrokerCheck CRD 46173 ↗
via Park Avenue Securities LLC (CRD 46173 ↗)

M Holdings Securities Inc. BrokerCheck CRD 43285 ↗
via M Holdings Securities Inc. (CRD 43285 ↗)

Wealth Preservation Associates LLC BrokerCheck CRD 35277 ↗
via Wealth Preservation Associates LLC (CRD 35277 ↗)

NYLIFE Securities LLC BrokerCheck CRD 5167 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

First Liberties Financial BrokerCheck CRD 14432 ↗
via First Liberties Financial (CRD 14432 ↗)

Oglivie Security Advisors Corporation BrokerCheck CRD 10105 ↗
via Oglivie Security Advisors Corporation (CRD 10105 ↗)

World Equity Group, Inc. BrokerCheck CRD 29087 ↗
via World Equity Group, Inc. (CRD 29087 ↗)

LPL Financial LLC BrokerCheck CRD 6413 ↗
via LPL Financial LLC (CRD 6413 ↗)

Lion Street Financial BrokerCheck CRD 165828 ↗
via Lion Street Financial (CRD 165828 ↗)

Kestra Investment Services LLC BrokerCheck CRD 42046 ↗
via Kestra Investment Services LLC (CRD 42046 ↗)
EDGAR ↗Mar 11, 2026 D
File 021-576139
$9,337,339$0$0M Holdings Securities Inc. BrokerCheck CRD 43285 ↗
via M Holdings Securities Inc. (CRD 43285 ↗)

NYLIFE Securities LLC BrokerCheck CRD 5167 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

Wachovia Insurance Services, Inc. BrokerCheck CRD 35419 ↗
via Wachovia Insurance Services, Inc. (CRD 35419 ↗)

GA Financial, Inc. BrokerCheck CRD 42293 ↗
via GA Financial, Inc. (CRD 42293 ↗)

NYLINK Insurance Agency Incorporated no CRD number reported
via NYLIFE Securities, LLC (CRD 5167 ↗)

Royal Alliance Associates BrokerCheck CRD 23131 ↗
via Royal alliance Associates (CRD 23131 ↗)

American Portfolios Financial Services BrokerCheck CRD 18487 ↗
via American Portfolios Financial Services (CRD 18487 ↗)

New Investors World, Inc. BrokerCheck CRD 109356 ↗
via New Investors World, Inc. (CRD 109356 ↗)

NFP Securities, Inc. BrokerCheck CRD 42046 ↗
via NFP Securities, Inc. (CRD 42046 ↗)

Stern Capital LLC BrokerCheck CRD 131226 ↗
via Stern Capital LLC (CRD 131226 ↗)

First Montauk Securities Corp. BrokerCheck CRD 13755 ↗
via First Montauk Securities Corp. (CRD 13755 ↗)

MAG Financial Inc. BrokerCheck CRD 36327 ↗
via MAG Financial Inc. (CRD 36327 ↗)

Manor House Capital, LLC BrokerCheck CRD 140863 ↗
via Manor House Capital, LLC (CRD 140863 ↗)

Lincoln Financial Advisors Corp. BrokerCheck CRD 3978 ↗
via Lincoln Financial Advisors Corp. (CRD 3978 ↗)

MML Investors Services, Inc. BrokerCheck CRD 10409 ↗
via MML Investors Services, Inc. (CRD 10409 ↗)

Deutsche Bank Securities Inc. BrokerCheck CRD 2525 ↗
via Deutsche Bank Securities Inc. (CRD 2525 ↗)

Ross Securities Corporation BrokerCheck CRD 113796 ↗
via Ross Securities Corporation (CRD 113796 ↗)

Park Avenue Securities LLC BrokerCheck CRD 46173 ↗
via Park Avenue Securities LLC (CRD 46173 ↗)

Wealth Preservation Associates LLC BrokerCheck CRD 35277 ↗
via Wealth Preservation Associates LLC (CRD 35277 ↗)

First Liberties Financial BrokerCheck CRD 14432 ↗
via First Liberties Financial (CRD 14432 ↗)

Oglivie Security Advisors Corporation BrokerCheck CRD 10105 ↗
via Oglivie Security Advisors Corporation (CRD 10105 ↗)

World Equity Group, Inc. BrokerCheck CRD 29087 ↗
via World Equity Group, Inc. (CRD 29087 ↗)

LPL Financial LLC BrokerCheck CRD 6413 ↗
via LPL Financial LLC (CRD 6413 ↗)

Lion Street Financial BrokerCheck CRD 165828 ↗
via Lion Street Financial (CRD 165828 ↗)
EDGAR ↗Feb 12, 2026 D
File 021-573469
$0$0$0None listed on this filing
EDGAR ↗Feb 3, 2026 D
File 021-572231
$0$0$0None listed on this filing
EDGAR ↗Mar 12, 2025 D/A
File 021-255279
$26,036,135$0$0M Holdings Securities Inc. BrokerCheck CRD 43285 ↗
via M Holdings Securities Inc. (CRD 43285 ↗)

ValMark Securities, Inc. BrokerCheck CRD 31243 ↗
via ValMark Securities, Inc. (CRD 31243 ↗)

Newport Group Securities, Inc. BrokerCheck CRD 29722 ↗
via Newport Group Securities, Inc. (CRD 29722 ↗)

NFP Advisor Services, LLC BrokerCheck CRD 42046 ↗
via NFP Advisor Services, LLC (CRD 42046 ↗)

Executive Services Securities BrokerCheck CRD 25299 ↗
via Executive Services Securities (CRD 25299 ↗)

Tower Square Securities Inc. BrokerCheck CRD 833 ↗
via Tower Square Securities Inc. (CRD 833 ↗)

FAS Corp. BrokerCheck CRD 43536 ↗
via FAS Corp. (CRD 43536 ↗)

NYLIFE Securities, Inc. BrokerCheck CRD 5167 ↗
via NYLIFE Securities, Inc. (CRD 5167 ↗)

Douglas Forstrom BrokerCheck CRD 1155360 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

Kestra Investment Services LLC BrokerCheck CRD 42046 ↗
via Kestra Investment Services LLC (CRD 42046 ↗)

UBS Financial Services BrokerCheck CRD 8174 ↗
via UBS Financial Services (CRD 8174 ↗)

Triad Insurance, Inc. BrokerCheck CRD 25803 ↗
via Triad Insurance, Inc. (CRD 25803 ↗)

Cetera Advisor Networks, LLC BrokerCheck CRD 13572 ↗
via Cetera Advisor Networks, LLC (CRD 13572 ↗)

Cetera Advisors, LLC BrokerCheck CRD 10299 ↗
via Cetera Advisors, LLC (CRD 10299 ↗)

Triad Advisors LLC BrokerCheck CRD 25803 ↗
via Triad Advisors LLC (CRD 25803 ↗)

USI Securities, Inc. BrokerCheck CRD 43793 ↗
via USI Securities, Inc. (CRD 43793 ↗)

Northwestern Mutual Investment Services BrokerCheck CRD 2881 ↗
via Northwestern Mutual Investment Services (CRD 2881 ↗)

Ascensus Broker Dealer Services, LLC BrokerCheck CRD 36478 ↗
via Ascensus Broker Dealer Services, LLC (CRD 36478 ↗)
EDGAR ↗Mar 12, 2025 D/A
File 021-72713-6N
$51,176,870$0$0M Holdings Securities Inc. BrokerCheck CRD 43285 ↗
via M Holdings Securities Inc. (CRD 43285 ↗)

Clark Securities Inc. BrokerCheck CRD 43803 ↗
via Clark Securities Inc. (CRD 43803 ↗)

Northwestern Mutual Investment Services, LLC BrokerCheck CRD 2881 ↗
via Northwestern Mutual Investment Services, LLC (CRD 2881 ↗)

TBG Financial & Insurance Services BrokerCheck CRD 26984 ↗
via TBG Financial & Insurance Services (CRD 26984 ↗)

Executive Services Securities BrokerCheck CRD 25299 ↗
via Executive Services Securities (CRD 25299 ↗)

Tower Square Securities Inc. BrokerCheck CRD 833 ↗
via Tower Square Securities Inc. (CRD 833 ↗)

FAS Corp. BrokerCheck CRD 43536 ↗
via FAS Corp. (CRD 43536 ↗)

ValMark Securities, Inc. BrokerCheck CRD 31243 ↗
via ValMark Securities, Inc. (CRD 31243 ↗)

Newport Group Securities, Inc. BrokerCheck CRD 29722 ↗
via Newport Group Securities, Inc. (CRD 29722 ↗)

NYLIFE Securities LLC BrokerCheck CRD 5167 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

Douglas Forstrom BrokerCheck CRD 1155360 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

MAG Financial Inc. BrokerCheck CRD 36327 ↗
via MAG Financial Inc. (CRD 36327 ↗)

Manor House Capital, LLC BrokerCheck CRD 140863 ↗
via Manor House Capital, LLC (CRD 140863 ↗)

Lincoln Financial Advisors Corp. BrokerCheck CRD 3978 ↗
via Lincoln Financial Advisors Corp. (CRD 3978 ↗)

MML Investors Services, Inc. BrokerCheck CRD 10409 ↗
via MML Investors Services, Inc. (CRD 10409 ↗)

Deutsche Bank Securities Inc. BrokerCheck CRD 2525 ↗
via Deutsche Bank Securities Inc. (CRD 2525 ↗)

Ross Securities Corporation BrokerCheck CRD 113796 ↗
via Ross Securities Corporation (CRD 113796 ↗)

Park Avenue Securities LLC BrokerCheck CRD 46173 ↗
via Park Avenue Securities LLC (CRD 46173 ↗)

Wealth Preservation Associates LLC BrokerCheck CRD 35277 ↗
via Wealth Preservation Associates LLC (CRD 35277 ↗)

First Liberties Financial BrokerCheck CRD 14432 ↗
via First Liberties Financial (CRD 14432 ↗)

Oglivie Security Advisors Corporation BrokerCheck CRD 10105 ↗
via Oglivie Security Advisors Corporation (CRD 10105 ↗)

World Equity Group, Inc. BrokerCheck CRD 29087 ↗
via World Equity Group, Inc. (CRD 29087 ↗)

NYLINK Insurance Agency Incorporated no CRD number reported
via NYLIFE Securities, LLC (CRD 5167 ↗)

James M. Foyt BrokerCheck CRD 3152720 ↗
via Northwestern Mutual Investment Services, LLC (CRD 2881 ↗)

Russell H. Vandevelde BrokerCheck CRD 2030209 ↗
via Northwestern Mutual Investment Services, LLC (CRD 2881 ↗)

Phillip Pickett BrokerCheck CRD 4739154 ↗
via Northwestern Mutual Investment Services, LLC (CRD 2881 ↗)

Domenic Matthew Dipiero BrokerCheck CRD 4772723 ↗
via NCG Securities, LLC (CRD 160481 ↗)

Kestra Investment Services LLC BrokerCheck CRD 42046 ↗
via Kestra Investment Services LLC (CRD 42046 ↗)

MSI Financial Services Inc BrokerCheck CRD 14251 ↗
via MSI Financial Services Inc (CRD 14251 ↗)

UBS Financial Services Inc BrokerCheck CRD 8174 ↗
via UBS Financial Services Inc (CRD 8174 ↗)

OneAmerica Securities, Inc. BrokerCheck CRD 4173 ↗
via OneAmerica Securities, Inc. (CRD 4173 ↗)

Morgan Stanley Ins Services BrokerCheck CRD 149777 ↗
via Morgan Stanley Ins Services (CRD 149777 ↗)

MML Insurance Agency, Inc. BrokerCheck CRD 168638 ↗
via MML Insurance Agency, Inc. (CRD 168638 ↗)

Triad Insurance, Inc. BrokerCheck CRD 25803 ↗
via Triad Advisors LLC (CRD 25803 ↗)

Cetera Advisor Networks, LLC BrokerCheck CRD 13572 ↗
via Cetera Advisor Networks, LLC (CRD 13572 ↗)

USI Securities, Inc. BrokerCheck CRD 43793 ↗
via USI Securities, Inc. (CRD 43793 ↗)

Ascensus Broker Dealer Services, LLC BrokerCheck CRD 36478 ↗
via Ascensus Broker Dealer Services, LLC (CRD 36478 ↗)
EDGAR ↗Mar 12, 2025 D/A
File 021-49767
$8,718,339$0$0M Holdings Securities Inc. BrokerCheck CRD 43285 ↗
via M Holdings Securities Inc. (CRD 43285 ↗)

NYLIFE Securities LLC BrokerCheck CRD 5167 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

Wachovia Insurance Services, Inc. BrokerCheck CRD 35419 ↗
via Wachovia Insurance Services, Inc. (CRD 35419 ↗)

GA Financial, Inc. BrokerCheck CRD 42293 ↗
via GA Financial, Inc. (CRD 42293 ↗)

NYLINK Insurance Agency Incorporated no CRD number reported
via NYLIFE Securities, LLC (CRD 5167 ↗)

Royal Alliance Associates BrokerCheck CRD 23131 ↗
via Royal alliance Associates (CRD 23131 ↗)

American Portfolios Financial Services BrokerCheck CRD 18487 ↗
via American Portfolios Financial Services (CRD 18487 ↗)

New Investors World, Inc. BrokerCheck CRD 109356 ↗
via New Investors World, Inc. (CRD 109356 ↗)

NFP Securities, Inc. BrokerCheck CRD 42046 ↗
via NFP Securities, Inc. (CRD 42046 ↗)

Stern Capital LLC BrokerCheck CRD 131226 ↗
via Stern Capital LLC (CRD 131226 ↗)

First Montauk Securities Corp. BrokerCheck CRD 13755 ↗
via First Montauk Securities Corp. (CRD 13755 ↗)

MAG Financial Inc. BrokerCheck CRD 36327 ↗
via MAG Financial Inc. (CRD 36327 ↗)

Manor House Capital, LLC BrokerCheck CRD 140863 ↗
via Manor House Capital, LLC (CRD 140863 ↗)

Lincoln Financial Advisors Corp. BrokerCheck CRD 3978 ↗
via Lincoln Financial Advisors Corp. (CRD 3978 ↗)

MML Investors Services, Inc. BrokerCheck CRD 10409 ↗
via MML Investors Services, Inc. (CRD 10409 ↗)

Deutsche Bank Securities Inc. BrokerCheck CRD 2525 ↗
via Deutsche Bank Securities Inc. (CRD 2525 ↗)

Ross Securities Corporation BrokerCheck CRD 113796 ↗
via Ross Securities Corporation (CRD 113796 ↗)

Park Avenue Securities LLC BrokerCheck CRD 46173 ↗
via Park Avenue Securities LLC (CRD 46173 ↗)

Wealth Preservation Associates LLC BrokerCheck CRD 35277 ↗
via Wealth Preservation Associates LLC (CRD 35277 ↗)

First Liberties Financial BrokerCheck CRD 14432 ↗
via First Liberties Financial (CRD 14432 ↗)

Oglivie Security Advisors Corporation BrokerCheck CRD 10105 ↗
via Oglivie Security Advisors Corporation (CRD 10105 ↗)

World Equity Group, Inc. BrokerCheck CRD 29087 ↗
via World Equity Group, Inc. (CRD 29087 ↗)

LPL Financial LLC BrokerCheck CRD 6413 ↗
via LPL Financial LLC (CRD 6413 ↗)

Lion Street Financial BrokerCheck CRD 165828 ↗
via Lion Street Financial (CRD 165828 ↗)
EDGAR ↗Mar 12, 2025 D/A
File 021-362589
$23,609,419$0$0Newport Group Securities Inc. BrokerCheck CRD 29722 ↗
via Newport Group Securities,Inc. (CRD 29722 ↗)

M Holdings Securities, Inc BrokerCheck CRD 43285 ↗
via M Holdings Securities, Inc. (CRD 43285 ↗)

Kestra Investment Services LLC. BrokerCheck CRD 42046 ↗
via Kestra Investment Services LLC (CRD 42046 ↗)

Northwestern Mutual Investment Services LLC BrokerCheck CRD 2881 ↗
via Northwestern Mutual Investment Services LLC (CRD 2881 ↗)

Morgan Stanley Insurance Services, Inc. BrokerCheck CRD 149777 ↗
via Morgan Stanley Insurance Services, Inc. (CRD 149777 ↗)

VALMARK SECURITIES, INC. BrokerCheck CRD 31243 ↗
via VALMARK SECURITIES, INC. (CRD 31243 ↗)

CARRIE HALL BrokerCheck CRD 1405784 ↗
via NYLIFE Securities LLC (CRD 5167 ↗)

Triad Insurance, Inc. BrokerCheck CRD 25803 ↗
via Triad Advisors LLC. (CRD 25803 ↗)

Lion Street Financial LLC BrokerCheck CRD 165828 ↗
via Lion Street Financial LLC (CRD 165828 ↗)

USI Securities, Inc. BrokerCheck CRD 43793 ↗
via USI Securities, Inc. (CRD 43793 ↗)

Ascensus Broker Dealer Services, LLC BrokerCheck CRD 36478 ↗
via Ascensus Broker Dealer Services, LLC (CRD 36478 ↗)

Executive Insurance Agency BrokerCheck CRD 31243 ↗
via Valmark Securities, Inc. (CRD 31243 ↗)

The Leaders Group BrokerCheck CRD 37157 ↗
via The Leaders Group (CRD 37157 ↗)
EDGAR ↗Mar 4, 2025 D/A
File 021-267971
$0$0$0None listed on this filing
EDGAR ↗Feb 12, 2025 D
File 021-538013
$0$0$0None listed on this filing
EDGAR ↗Feb 14, 2024 D
File 021-505257
$0$0$0None listed on this filing
EDGAR ↗Feb 14, 2023 D
File 021-473484
$0$0$0None listed on this filing
EDGAR ↗Jan 31, 2022 D
File 021-431434
$0$0$0None listed on this filing
EDGAR ↗Feb 16, 2021 D
File 021-389538
$0$0$0NYLIFE Securities LLC BrokerCheck CRD 5167 ↗
EDGAR ↗Jan 28, 2020 D
File 021-359143
$0$0$0NYLIFE Securities LLC BrokerCheck CRD 5167 ↗
EDGAR ↗Jan 22, 2019 D
File 021-330990
$0$0$0NYLIFE SECURITIES LLC BrokerCheck CRD 5167 ↗
EDGAR ↗Dec 18, 2018 D/A
File 021-229019
$0$0$0None listed on this filing
EDGAR ↗Jan 23, 2018 D
File 021-303870
$0$0$0NYLife Securities LLC BrokerCheck CRD 5167 ↗
EDGAR ↗Jan 13, 2017 D
File 021-278445
$0$0$0NYLIFE SECURITIES LLC BrokerCheck CRD 5167 ↗
EDGAR ↗Mar 18, 2016 D
File 021-259608
$0$0$0None listed on this filing
EDGAR ↗Jan 13, 2016 D
File 021-255022
$0$0$0None listed on this filing
EDGAR ↗Jan 14, 2015 D
File 021-232221
$0$0$0None listed on this filing
EDGAR ↗Jan 14, 2014 D
File 021-209979
$0$0$0None listed on this filing

As reported by the issuer on Form D (Items 12–15), latest filing per offering (one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Appears on these filings

SourceIssuerRoleFiledFormOfferingSoldInvestorsMin. investment
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 11, 2026DIndefinite$505,329,837151$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 11, 2026DIndefinite$545,593,9812$100,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 11, 2026DIndefinite$136,299,569120$100,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 11, 2026DIndefinite$3,033,110,297227$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 11, 2026DIndefinite$2,016,462,443155$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 11, 2026DIndefinite$1,837,269,784179$250,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Feb 12, 2026DIndefinite
similar: $750,000–$13,000,000
$849,611316
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorFeb 3, 2026DIndefinite$1,702,641,3832$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 12, 2025D/AIndefinite$135,351,413119$100,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 12, 2025D/AIndefinite$2,362,250,139207$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 12, 2025D/AIndefinite$1,991,085,527133$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 12, 2025D/AIndefinite$1,830,489,296179$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 12, 2025D/AIndefinite$505,329,837151$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 12, 2025D/AIndefinite$545,593,9812$100,000,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President & Treasurer
Mar 4, 2025D/AIndefinite
similar: $750,000–$13,000,000
$2,064,179,5301
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Feb 12, 2025DIndefinite
similar: $750,000–$13,000,000
$863,560319
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 14, 2024D/AIndefinite$505,539,837151$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 14, 2024D/AIndefinite$1,826,709,576119$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 14, 2024D/AIndefinite$2,029,235,097170$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 14, 2024D/AIndefinite$1,958,652,155131$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 14, 2024D/AIndefinite$545,593,9812$100,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 14, 2024D/AIndefinite$132,819,829106$100,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Feb 22, 2024D/AIndefinite
similar: $750,000–$13,000,000
$2,064,179,5301
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Feb 14, 2024DIndefinite
similar: $750,000–$13,000,000
$0314
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Mar 13, 2023D/AIndefinite
similar: $750,000–$13,000,000
$2,064,179,5301
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 13, 2023D/AIndefinite$129,951,729105$100,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 13, 2023D/AIndefinite$545,593,9812$100,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 13, 2023D/AIndefinite$505,129,837151$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 13, 2023D/AIndefinite$1,813,207,38899$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 13, 2023D/AIndefinite$1,049,647,42427$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 13, 2023D/AIndefinite$1,904,839,459129$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Feb 14, 2023DIndefinite
similar: $750,000–$13,000,000
$0313
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 9, 2022D/AIndefinite$117,665,54489$100,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 9, 2022D/AIndefinite$505,101,081133$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 9, 2022D/AIndefinite$958,266,20722$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 9, 2022D/AIndefinite$1,786,273,548118$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 9, 2022D/AIndefinite$1,799,736,98973$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 9, 2022D/AIndefinite$545,593,9812$100,000,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Jan 31, 2022DIndefinite
similar: $750,000–$13,000,000
$0311
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 15, 2021D/AIndefinite$117,665,54485$100,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 15, 2021D/AIndefinite$545,593,9812$100,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 15, 2021D/AIndefinite$505,081,951133$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 15, 2021D/AIndefinite$70,411,49711$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 15, 2021D/AIndefinite$1,654,866,194100$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 15, 2021D/AIndefinite$1,794,596,50753$250,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Feb 16, 2021DIndefinite
similar: $750,000–$13,000,000
$442,831214
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 11, 2020D/AIndefinite$116,439,03985$100,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 11, 2020DIndefinite$00$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 11, 2020D/AIndefinite$545,593,9812$100,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 11, 2020D/AIndefinite$504,233,303133$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 11, 2020D/AIndefinite$1,539,257,10979$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 11, 2020D/AIndefinite$1,778,056,49852$250,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Feb 12, 2020D/AIndefinite
similar: $750,000–$13,000,000
$1,158,570,6701
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Jan 28, 2020DIndefinite
similar: $750,000–$13,000,000
$00
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 8, 2019D/AIndefinite$545,593,9812$100,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 8, 2019D/AIndefinite$503,131,748133$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 8, 2019D/AIndefinite$427,882,61850$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 8, 2019D/AIndefinite$1,768,838,69851$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 8, 2019D/AIndefinite$114,844,44585$100,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Feb 13, 2019D/AIndefinite
similar: $750,000–$13,000,000
$200,000,0001
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
SENIOR VICE PRESIDENT AND TREASURER
Jan 22, 2019DIndefinite
similar: $750,000–$13,000,000
$00
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗New York Life Insurance Co Pooled Separate Account 45-005
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Dec 18, 2018D/AIndefinite
similar: $750,000–$13,000,000
$327,758,8403
similar: 1–13
No minimum reported
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 14, 2018D/AIndefinite$112,849,64585$100,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 12, 2018D/AIndefinite$112,849,64585$100,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 12, 2018D/AIndefinite$112,849,64585$100,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 12, 2018D/AIndefinite$545,593,9812$100,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 12, 2018D/AIndefinite$502,360,663133$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 12, 2018D/AIndefinite$311,998,28216$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 12, 2018D/AIndefinite$1,749,077,15248$250,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Feb 14, 2018D/AIndefinite
similar: $750,000–$13,000,000
$200,000,0001
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Jan 23, 2018DIndefinite
similar: $750,000–$13,000,000
$00
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗New York Life Insurance Co Pooled Separate Account 45-005
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Jan 3, 2018D/AIndefinite
similar: $750,000–$13,000,000
$327,758,8403
similar: 1–13
No minimum reported
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 13, 2017D/AIndefinite$110,445,80183$100,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 13, 2017D/AIndefinite$545,593,9812$100,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 13, 2017D/AIndefinite$500,484,661133$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 13, 2017D/AIndefinite$117,427,8466$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive Officer, DirectorMar 13, 2017D/AIndefinite$1,723,614,22547$250,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
SENIOR VICE PRESIDENT AND TREASURER
Jan 13, 2017DIndefinite
similar: $750,000–$13,000,000
$00
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗New York Life Insurance Co Pooled Separate Account 45-005
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Jan 4, 2017D/AIndefinite
similar: $750,000–$13,000,000
$327,758,8403
similar: 1–13
No minimum reported
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Jul 29, 2016DIndefinite
similar: $750,000–$13,000,000
$200,000,0001
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Mar 18, 2016DIndefinite
similar: $750,000–$13,000,000
$00
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive OfficerMar 10, 2016D/AIndefinite$545,593,9812$100,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive OfficerMar 10, 2016D/AIndefinite$493,123,123133$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive OfficerMar 10, 2016D/AIndefinite$107,809,17083$100,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive OfficerMar 10, 2016D/AIndefinite$83,503,5453$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive OfficerMar 10, 2016D/AIndefinite$1,681,031,54947$250,000
EDGAR ↗NEW YORK LIFE INSURANCE & ANNUITY CORP
group: Longtail
Executive OfficerJan 15, 2016DIndefinite$83,503,5453$1,000,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Jan 13, 2016DIndefinite
similar: $750,000–$13,000,000
$00
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗New York Life Insurance Co Pooled Separate Account 45-005
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Nov 23, 2015D/AIndefinite
similar: $750,000–$13,000,000
$216,000,0003
similar: 1–13
No minimum reported
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
SENIOR VICE PRESIDENT AND TREASURER
Jan 14, 2015DIndefinite
similar: $750,000–$13,000,000
$00
similar: 1–13
$1
similar: $6,403–$560,000
EDGAR ↗New York Life Insurance Co Pooled Separate Account 45-005
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Nov 25, 2014DIndefinite
similar: $750,000–$13,000,000
$101,000,0002
similar: 1–13
No minimum reported
similar: $6,403–$560,000
EDGAR ↗NEW YORK LIFE INSURANCE CO
group: Longtail
Executive Officer
Senior Vice President and Treasurer
Jan 14, 2014DIndefinite
similar: $750,000–$13,000,000
$00
similar: 1–13
$1
similar: $6,403–$560,000

Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Insurance / 506(b) (687 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Connections as of Oct 23, 2026, 5:45 PM ET

Listed alongside — 40 names on the same filings (0 management entities, 40 people)

People and management entities the issuers listed as related persons on the same Form D filings as Thomas A. Hendry. Source: the EDGAR rows in the table above. Showing the 40 with the most shared filings.

  • Robert M. Gardner — 83 shared filings (3 issuers) · roles as listed: Executive Officer, Director
  • Craig L. DeSanto — 82 shared filings (4 issuers) · roles as listed: Executive Officer, Director
  • Amy Miller — 76 shared filings (4 issuers) · roles as listed: Executive Officer, Director
  • Theodore A. Mathas — 71 shared filings (4 issuers) · roles as listed: Executive Officer, Director · also listed on 1 other issuer
  • Mark J. Madgett — 67 shared filings (4 issuers) · roles as listed: Executive Officer, Director
  • Janis C. Rubin — 66 shared filings (2 issuers) · role as listed: Executive Officer
  • Eric Feldstein — 54 shared filings (3 issuers) · roles as listed: Executive Officer, Director
  • Matthew D. Wion — 53 shared filings (2 issuers) · roles as listed: Executive Officer, Director
  • Alexander I. Cook — 50 shared filings (3 issuers) · roles as listed: Executive Officer, Director
  • Joel M. Steinberg — 46 shared filings (4 issuers) · roles as listed: Executive Officer, Director
  • Anthony R. Malloy — 45 shared filings (4 issuers) · roles as listed: Executive Officer, Director · also listed on 1 other issuer
  • Colleen A. Meade — 43 shared filings (2 issuers) · role as listed: Executive Officer
  • John T. Fleurant — 38 shared filings (4 issuers) · roles as listed: Executive Officer, Director
  • Elizabeth K. Brill — 38 shared filings (3 issuers) · roles as listed: Executive Officer, Director
  • Frank Harte — 36 shared filings (1 issuer) · roles as listed: Executive Officer, Director · also listed on 2 other issuers
  • Christopher T. Ashe — 35 shared filings (2 issuers) · roles as listed: Executive Officer, Director
  • Michael McDonnell — 35 shared filings (3 issuers) · roles as listed: Executive Officer, Director
  • John Y. Kim — 32 shared filings (4 issuers) · roles as listed: Executive Officer, Director
  • Jodi Kravitz — 31 shared filings (2 issuers) · roles as listed: Executive Officer, Director
  • Michael A. Gamble — 31 shared filings (2 issuers) · role as listed: Executive Officer
  • Thomas F. English — 30 shared filings (2 issuers) · role as listed: Executive Officer
  • Arthur H. Seter — 29 shared filings (2 issuers) · roles as listed: Executive Officer, Director
  • Matthew Grove — 29 shared filings (4 issuers) · roles as listed: Executive Officer, Director
  • David G. Bedard — 29 shared filings (2 issuers) · roles as listed: Executive Officer, Director
  • Mark L. Feidler — 26 shared filings (2 issuers) · role as listed: Director
  • Ralph de la Vega — 26 shared filings (2 issuers) · role as listed: Director
  • Michele G. Buck — 25 shared filings (2 issuers) · role as listed: Director
  • Thomas C. Schievelbein — 24 shared filings (2 issuers) · role as listed: Director
  • Sara L. Badler — 24 shared filings (2 issuers) · role as listed: Executive Officer
  • Barbara J. McInerney — 23 shared filings (2 issuers) · role as listed: Executive Officer
  • James J. Cristallo — 23 shared filings (2 issuers) · roles as listed: Executive Officer, Director
  • Dylan W. Huang — 23 shared filings (2 issuers) · roles as listed: Executive Officer, Director
  • Sheila K. Davidson — 22 shared filings (2 issuers) · role as listed: Executive Officer
  • Robert B. Carter — 22 shared filings (2 issuers) · role as listed: Director
  • Christopher O. Blunt — 21 shared filings (4 issuers) · roles as listed: Executive Officer, Director
  • Gerald B. Smith — 21 shared filings (2 issuers) · role as listed: Director
  • Edward D. Shirley — 20 shared filings (2 issuers) · role as listed: Director
  • Patricia L. Barbari — 19 shared filings (2 issuers) · role as listed: Executive Officer
  • Betty C. Alewine — 18 shared filings (2 issuers) · role as listed: Director
  • Christina A. Gold — 17 shared filings (2 issuers) · role as listed: Director

Other offering types (Regulation A and Regulation Crowdfunding)

None found in sources searched.

Sources searched: SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 · Last checked Oct 23, 2026, 8:41 PM ET.

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