Neal Scott
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.
Neal Scott, who also goes by Scott Neal, Neal Scott Weinhouse, was a registered financial advisor .
Neal is a previously registered financial advisor and started their career in finance in 1982. Neal had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2018 - September 12, 2019
JOSEPH STONE CAPITAL L.L.C.
September 9, 2015 - May 31, 2018
WINDSOR STREET CAPITAL, LP
January 11, 2011 - October 8, 2015
A.G.P. / ALLIANCE GLOBAL PARTNERS
November 16, 2007 - October 8, 2015
A.G.P. / ALLIANCE GLOBAL PARTNERS
December 19, 2005 - November 20, 2007
BISHOP, ROSEN & CO., INC.
August 26, 2004 - January 4, 2006
WESTPARK CAPITAL, INC.
October 29, 2002 - October 7, 2004
J.P. TURNER & COMPANY, L.L.C.
February 9, 2001 - November 12, 2002
U.S. SECURITIES & FUTURES CORP.
November 9, 1998 - February 1, 2001
JOSEPH GUNNAR & CO. LLC
June 3, 1993 - August 31, 1998
FIRST ASSET MANAGEMENT, INC.
May 21, 1986 - August 5, 1993
EMANUEL AND COMPANY
March 20, 1984 - April 19, 1986
PHILIPS, APPEL & WALDEN, INC.
April 23, 1982 - July 27, 1984
E. G. FRANCES CO., 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
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
