Ned R. Somers
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.
Ned Randall Somers was a registered financial professional .
Ned is a previously registered financial professional and started their career in finance in 1983. Ned had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2000 - October 18, 2000
BROADBAND CAPITAL MANAGEMENT, LLC
July 1, 1998 - April 7, 2000
COWEN AND COMPANY
February 22, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
November 6, 1986 - January 23, 1996
LEHMAN BROTHERS INC.
September 30, 1986 - October 30, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 1983 - November 30, 1983
CIBC WORLD MARKETS CORP.
June 24, 1983 - November 5, 1983
J.P. MORGAN SECURITIES LLC
June 22, 1983 - September 30, 1983
E. F. HUTTON & COMPANY INC
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
Current Firm
BROADBAND CAPITAL MANAGEMENT, LLC
CRD#: 48001 / SEC#: , 8-51992
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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