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Jason Matthew Arata

NEW York Life Investment Management LLC

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About Jason Matthew Arata

Jason Arata is a financial professional with over 15 years of experience in the financial services industry. He is currently registered with New York Life Investment Management LLC, where he is a Registered Representative. Previously, Jason worked for PRINCIPAL FUNDS DISTRIBUTOR, INC. and ADP BROKER-DEALER, INC. Jason is licensed to provide investment advisory services in California, Idaho, Nevada, and Oregon. He holds the Series 7 and Series 66 securities licenses, as well as the SIE exam. Jason specializes in portfolio management for individuals, businesses, investment companies, and pooled investment vehicles.

Firm Information

Jason Arata is currently registered with NEW York Life Investment Management LLC. NEW York Life Investment Management LLC is an investment advisor based in NEW YORK, NY. It is a registered investment advisor with the SEC and has a total of 1123 accounts under management. The firm provides portfolio management services for individuals, businesses, investment companies, and pooled investment vehicles. Its assets under management are approximately $109,067,423,343. The firm participates in wrap fee programs.
NEW York Life Investment Management LLC

51 MADISON AVENUE

NEW YORK, NY 10010

$109.07B

Assets Under Management

Not reported

Total Clients

81

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Jason Arata’s Registration & Firm History

CA

02/27/2024 - Present

NEW York Life Investment Management LLC (SACRAMENTO CA)

CA

11/07/2013 - 11/01/2023

PRINCIPAL FUNDS DISTRIBUTOR, INC. (FOLSOM CA)

NJ

01/22/2013 - 10/24/2013

ADP BROKER-DEALER, INC. (ROSELAND NJ)

CA

01/07/2008 - 01/11/2013

PRINCIPAL FUNDS DISTRIBUTOR, INC. (EL DORADO HILLS CA)

CA

09/22/2006 - 06/08/2007

M.L. STERN & CO., LLC. (SACRAMENTO CA)

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Licenses & Designations

BOTH

Issued 10/09/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/21/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jason Matthew Arata.
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