Robert W. Neff
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Walter Neff was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1985. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 3, Series 7, Series 53, Series 24, Series 4 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2004 - December 9, 2005
ADVEST, INC.
August 23, 2004 - December 9, 2005
ADVEST, INC.
August 15, 2003 - January 13, 2004
KEYBANC CAPITAL MARKETS INC.
July 28, 2003 - January 13, 2004
KEYBANC CAPITAL MARKETS INC.
November 26, 2002 - February 5, 2003
UBS FINANCIAL SERVICES INC.
October 23, 2002 - February 5, 2003
UBS FINANCIAL SERVICES INC.
November 13, 1993 - September 21, 2001
CARNES CAPITAL CORPORATION
March 27, 1990 - November 18, 1993
TRUIST INVESTMENT SERVICES, INC.
August 15, 1989 - March 19, 1990
BARNETT INVESTMENTS, INC.
May 11, 1988 - August 24, 1989
AXE SECURITIES CORPORATION
June 19, 1985 - April 5, 1988
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 8/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
ADVEST, INC.
CRD#: 10 / SEC#: , 8-21409
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVEST GROUP, INC. | PARENT COMPANY OF ADVEST, INC. | |
| DIAMOND, JASON HOWARD | C.F.O. | 2320884 |
| DOYLE, SCOTT JOHN | SROP | 2100219 |
| FREITAG, WILLIAM CHRISTIAN | C.C.O. | 1732667 |
| HOROWITZ, DAVID ADAM | DIRECTOR | 1827880 |
| KUCKRO, LEE GERARD | C.L.O. | 1318309 |
| MCINTOSH, LAWRENCE FORBES | C.R.O.P. | 1571279 |
| MULLANE, DANIEL JOSEPH | PRESIDENT AND CEO | 1246435 |
| WELLINGTON, JOHN HOLMES SR | DIRECTOR - C.O.O. | 1314741 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 53 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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