Form D Raw Data - Electronic Filing Depository

EFDID: 10754EFD: Raw Data

Issuer: NEW YORK LIFE INSURANCE & ANNUITY CORP (0000727136) - D/A

Accession: 0000727136-22-000002 () (EDGAR Files) (Form D)

Edgar Posted: Mar. 9, 2022
EFD Posted: Mar. 9, 2022

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< testOrLive > LIVE </ testOrLive >

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< entityName > NEW YORK LIFE INSURANCE & ANNUITY CORP </ entityName >

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< street1 > 51 MADISON AVENUE </ street1 >

< street2 > C/O NEW YORK LIFE INSURANCE COMPANY </ street2 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 212-576-7000 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

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< previousName > NEW YORK LIFE INSURANCE AND ANNUITY CORP </ previousName >

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< firstName > Eric </ firstName >

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< street1 > 51 Madison Avenue </ street1 >

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< firstName > Janis </ firstName >

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< street1 > 51 Madison Avenue </ street1 >

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< firstName > Colleen </ firstName >

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< street1 > 51 Madison Avenue </ street1 >

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< firstName > Craig </ firstName >

< middleName > L. </ middleName >

< lastName > DeSanto </ lastName >

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< street1 > 51 Madison Ave </ street1 >

< city > New York </ city >

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< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

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- < relatedPersonInfo >

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< firstName > Michael </ firstName >

< middleName > A. </ middleName >

< lastName > Gamble </ lastName >

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< street1 > 51 Madison Ave </ street1 >

< city > New York </ city >

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- < relatedPersonInfo >

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< firstName > Anthony </ firstName >

< middleName > R. </ middleName >

< lastName > Malloy </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

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- < offeringData >

- < industryGroup >

< industryGroupType > Insurance </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Over $100,000,000 </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 3C </ item >

< item > 3C.1 </ item >

< item > 3C.7 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0000727136-21-000001 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2006-01-15 </ value >

</ dateOfFirstSale >

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- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

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- < typesOfSecuritiesOffered >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Variable Interests in CorpExec Private Placement Variable Universal Life Policies (CEPPVUL) </ descriptionOfOtherType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 250000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > M Holdings Securities Inc. </ recipientName >

< recipientCRDNumber > 43285 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 N. W. Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Clark Securities Inc. </ recipientName >

< recipientCRDNumber > 43803 </ recipientCRDNumber >

< associatedBDName > Clark Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 43803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2100 Ross Avenue </ street1 >

< street2 > Suite 2200 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ recipientAddress >

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< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Northwestern Mutual Investment Services, LLC </ recipientName >

< recipientCRDNumber > 2881 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual Investment Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 611 East Wisconsin Avenue </ street1 >

< city > Milwaukee </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > TBG Financial & Insurance Services </ recipientName >

< recipientCRDNumber > 26984 </ recipientCRDNumber >

< associatedBDName > TBG Financial & Insurance Services </ associatedBDName >

< associatedBDCRDNumber > 26984 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 North Sepulveda Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > El Segunda </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90245 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Executive Services Securities </ recipientName >

< recipientCRDNumber > 25299 </ recipientCRDNumber >

< associatedBDName > Executive Services Securities </ associatedBDName >

< associatedBDCRDNumber > 25299 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3445 Peachtree Road N.E. </ street1 >

< street2 > Suite 200 </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30326 </ zipCode >

</ recipientAddress >

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< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Tower Square Securities Inc. </ recipientName >

< recipientCRDNumber > 833 </ recipientCRDNumber >

< associatedBDName > Tower Square Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1095 Avenue of the Americas </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10036 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > FAS Corp. </ recipientName >

< recipientCRDNumber > 43536 </ recipientCRDNumber >

< associatedBDName > FAS Corp. </ associatedBDName >

< associatedBDCRDNumber > 43536 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4747 West 135th Street </ street1 >

< street2 > Suite 100 </ street2 >

< city > Leawood </ city >

< stateOrCountry > KS </ stateOrCountry >

< stateOrCountryDescription > KANSAS </ stateOrCountryDescription >

< zipCode > 66224 </ zipCode >

</ recipientAddress >

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< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > ValMark Securities, Inc. </ recipientName >

< recipientCRDNumber > 31243 </ recipientCRDNumber >

< associatedBDName > ValMark Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 31243 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 130 Springside Drive </ street1 >

< street2 > Suite 300 </ street2 >

< city > Akron </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 44333 </ zipCode >

</ recipientAddress >

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< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Newport Group Securities, Inc. </ recipientName >

< recipientCRDNumber > 29722 </ recipientCRDNumber >

< associatedBDName > Newport Group Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 29722 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 International Parkway </ street1 >

< street2 > Suite 270 </ street2 >

< city > Heathrow </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32746 </ zipCode >

</ recipientAddress >

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< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > NYLIFE Securities LLC </ recipientName >

< recipientCRDNumber > 5167 </ recipientCRDNumber >

< associatedBDName > NYLIFE Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 5167 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 51 Madison Avenue </ street1 >

< street2 > Room 713 </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Douglas Forstrom </ recipientName >

< recipientCRDNumber > 1155360 </ recipientCRDNumber >

< associatedBDName > NYLIFE Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 5167 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 208 West 2nd Street </ street1 >

< city > Fairmont </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 56031 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MAG Financial Inc. </ recipientName >

< recipientCRDNumber > 36327 </ recipientCRDNumber >

< associatedBDName > MAG Financial Inc. </ associatedBDName >

< associatedBDCRDNumber > 36327 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2005 Market Street </ street1 >

< street2 > 7th Floor </ street2 >

< city > Philadelphia </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Manor House Capital, LLC </ recipientName >

< recipientCRDNumber > 140863 </ recipientCRDNumber >

< associatedBDName > Manor House Capital, LLC </ associatedBDName >

< associatedBDCRDNumber > 140863 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2005 Market Street </ street1 >

< street2 > 7th Floor </ street2 >

< city > Philadelphia </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lincoln Financial Advisors Corp. </ recipientName >

< recipientCRDNumber > 3978 </ recipientCRDNumber >

< associatedBDName > Lincoln Financial Advisors Corp. </ associatedBDName >

< associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1300 South Clinton Street </ street1 >

< street2 > Suite 150 </ street2 >

< city > Fort Wayne </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46802 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MML Investors Services, Inc. </ recipientName >

< recipientCRDNumber > 10409 </ recipientCRDNumber >

< associatedBDName > MML Investors Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 10409 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1295 State Street </ street1 >

< city > Springfield </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01111 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Deutsche Bank Securities Inc. </ recipientName >

< recipientCRDNumber > 2525 </ recipientCRDNumber >

< associatedBDName > Deutsche Bank Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 2525 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 60 Wall Street </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10005 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ross Securities Corporation </ recipientName >

< recipientCRDNumber > 113796 </ recipientCRDNumber >

< associatedBDName > Ross Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 113796 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1270 Avenue of the Americas </ street1 >

< street2 > 20th Floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10020 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Park Avenue Securities LLC </ recipientName >

< recipientCRDNumber > 46173 </ recipientCRDNumber >

< associatedBDName > Park Avenue Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 46173 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7 Hanover Square </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10004 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Wealth Preservation Associates LLC </ recipientName >

< recipientCRDNumber > 35277 </ recipientCRDNumber >

< associatedBDName > Wealth Preservation Associates LLC </ associatedBDName >

< associatedBDCRDNumber > 35277 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 521 Fifth Avenue </ street1 >

< street2 > 17th Floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10175 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > First Liberties Financial </ recipientName >

< recipientCRDNumber > 14432 </ recipientCRDNumber >

< associatedBDName > First Liberties Financial </ associatedBDName >

< associatedBDCRDNumber > 14432 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 369 Lexington Avenue </ street1 >

< street2 > Suite 311 </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Oglivie Security Advisors Corporation </ recipientName >

< recipientCRDNumber > 10105 </ recipientCRDNumber >

< associatedBDName > Oglivie Security Advisors Corporation </ associatedBDName >

< associatedBDCRDNumber > 10105 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 71 S Wacker </ street1 >

< street2 > Suite 3025 </ street2 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > World Equity Group, Inc. </ recipientName >

< recipientCRDNumber > 29087 </ recipientCRDNumber >

< associatedBDName > World Equity Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 29087 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1650 N. Arlington Heights Rd </ street1 >

< street2 > Suite 100 </ street2 >

< city > Arlington Heights </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60004-3984 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > NYLINK Insurance Agency Incorporated </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > NYLIFE Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 5167 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James M. Foyt </ recipientName >

< recipientCRDNumber > 3152720 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual Investment Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2031 11th Avenue South </ street1 >

< city > Birmingham </ city >

< stateOrCountry > AL </ stateOrCountry >

< stateOrCountryDescription > ALABAMA </ stateOrCountryDescription >

< zipCode > 35205 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Russell H. Vandevelde </ recipientName >

< recipientCRDNumber > 2030209 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual Investment Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2031 11th Avenue South </ street1 >

< city > Birmingham </ city >

< stateOrCountry > AL </ stateOrCountry >

< stateOrCountryDescription > ALABAMA </ stateOrCountryDescription >

< zipCode > 35205 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Phillip Pickett </ recipientName >

< recipientCRDNumber > 4739154 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual Investment Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2031 11th Avenue South </ street1 >

< city > Birmingham </ city >

< stateOrCountry > AL </ stateOrCountry >

< stateOrCountryDescription > ALABAMA </ stateOrCountryDescription >

< zipCode > 35205 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Domenic Matthew Dipiero </ recipientName >

< recipientCRDNumber > 4772723 </ recipientCRDNumber >

< associatedBDName > NCG Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 160481 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12 Broad Street </ street1 >

< street2 > 5th floor </ street2 >

< city > Red Bank </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kestra Investment Services LLC </ recipientName >

< recipientCRDNumber > 42046 </ recipientCRDNumber >

< associatedBDName > Kestra Investment Services LLC </ associatedBDName >

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1250 Capital of Texas Hwy S </ street1 >

< street2 > Bldg 2, Suite 125 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MSI Financial Services Inc </ recipientName >

< recipientCRDNumber > 14251 </ recipientCRDNumber >

< associatedBDName > MSI Financial Services Inc </ associatedBDName >

< associatedBDCRDNumber > 14251 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11225 North Community House Road </ street1 >

< street2 > Gragg Building - 8th Floor </ street2 >

< city > Charlotte </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 28277-4435 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > UBS Financial Services Inc </ recipientName >

< recipientCRDNumber > 8174 </ recipientCRDNumber >

< associatedBDName > UBS Financial Services Inc </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1000 Harbor Blvd </ street1 >

< street2 > 6th Floor </ street2 >

< city > Weehawken </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07086-6761 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > OneAmerica Securities, Inc. </ recipientName >

< recipientCRDNumber > 4173 </ recipientCRDNumber >

< associatedBDName > OneAmerica Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 4173 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 433 Capitol Avenue </ street1 >

< street2 > Third Floor </ street2 >

< city > Indianapolis </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46204 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Morgan Stanley Ins Services </ recipientName >

< recipientCRDNumber > 149777 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley Ins Services </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > Harborside Plaza II </ street1 >

< street2 > 7th Floor </ street2 >

< city > Jersey City </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07311 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MML Insurance Agency, Inc. </ recipientName >

< recipientCRDNumber > 168638 </ recipientCRDNumber >

< associatedBDName > MML Insurance Agency, Inc. </ associatedBDName >

< associatedBDCRDNumber > 168638 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1295 STATE STREET </ street1 >

< city > SPRINGFIELD </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01111 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Triad Insurance, Inc. </ recipientName >

< recipientCRDNumber > 25803 </ recipientCRDNumber >

< associatedBDName > Triad Insurance, Inc. </ associatedBDName >

< associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5155 Peachtree Parkway </ street1 >

< city > Peachtree Corners </ city >

< stateOrCountry > 2Q </ stateOrCountry >

< stateOrCountryDescription > GEORGIA (COUNTRY) </ stateOrCountryDescription >

< zipCode > 30092 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Cetera Advisor Networks, LLC </ recipientName >

< recipientCRDNumber > 13572 </ recipientCRDNumber >

< associatedBDName > Cetera Advisor Networks, LLC </ associatedBDName >

< associatedBDCRDNumber > 13572 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 200 N Sepulveda Boulevard </ street1 >

< city > El Segundo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90245 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > USI Securities, Inc. </ recipientName >

< recipientCRDNumber > 43793 </ recipientCRDNumber >

< associatedBDName > USI Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43793 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 95 Glastonbury Blvd </ street1 >

< street2 > Suite 102 </ street2 >

< city > Glastonbury </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06033 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 1799736989 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 73 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 50479799 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > NEW YORK LIFE INSURANCE & ANNUITY CORP </ issuerName >

< signatureName > /s/ Janis Rubin </ signatureName >

< nameOfSigner > Janis Rubin </ nameOfSigner >

< signatureTitle > Vice President </ signatureTitle >

< signatureDate > 2022-03-09 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >