Neil T. Frankel

VANDERBILT SECURITIES

New York, NY 10017

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CRD#: 1042560

Professional summary

Neil Terry Frankel is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in New York, New York.

Neil is registered as a RR (Registered Representative) and started their career in finance in 1982. Neil has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neil Terry Frankel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 22, 2006 - Present

VANDERBILT SECURITIES, LLC

Office #1: 555 Fifth Avenue 9th Floor, New York, NY 10017

CRD#: 5953

New York, NY

Past

June 7, 2005 - November 21, 2006

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

January 10, 2003 - June 30, 2005

YANKEE FINANCIAL GROUP, INC.

CRD#: 17966

MELVILLE, NY

Past

December 11, 1990 - November 22, 1994

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

September 17, 1986 - December 31, 2002

WISE PLANNING CORP.

CRD#: 899

HICKSVILLE, NY

Past

February 22, 1985 - August 20, 1986

WISE PLANNING CORP.

CRD#: 899

Past

May 11, 1982 - July 27, 1987

MONY SECURITIES CORPORATION

CRD#: 4386

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(3/22/2013)

California
(11/22/2006)

Connecticut
(11/22/2006)

District of Columbia
(11/22/2006)

Florida
(11/22/2006)

Georgia
(1/17/2007)

Illinois
(1/17/2007)

Maine
(1/4/2010)

Maryland
(11/22/2006)

Massachusetts
(1/2/2015)

Nevada
(5/25/2017)

New Jersey
(11/22/2006)

New York
(11/22/2006)

North Carolina
(5/25/2017)

Oklahoma
(5/25/2017)

Pennsylvania
(11/22/2006)

Rhode Island
(1/2/2015)

South Carolina
(2/14/2013)

Tennessee
(4/15/2019)

Texas
(1/2/2015)

Virginia
(1/2/2015)

Washington
(1/5/2021)

Exams

State Security Law Exam

Series 63

Date: 10/1/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/10/1982

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Mailing Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Phone number

(631) 845-5100

Established

New York since 12/05/2001

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VANDERBILT CAPITAL, LLC	SOLE OWNER
ANTENOR, JR, DANIEL	CHIEF OPERATIONS OFFICER/OPTIONS/MUNI	5839052
DISTANTE, STEPHEN ALFRED	CEO - LIMITED PARTNER	2206574
PLAPP, MEGAN LYNN	FINOP, POO, PFO, CFO	6790596
THOMAS, MICHELLE DENISE	CHIEF COMPLIANCE OFFICER	2210435
TRIFILETTI, JOSEPH JOHN	PRESIDENT	5295897

Disclosures

Regulatory Event	5
Arbitration	1

Red Flags

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Advisor Monitoring

Firm Stability Insights

Neil T. Frankel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neil Terry Frankel's CRS (Customer Relationship Summary).

Certified licenses

Experience

AEGIS CAPITAL CORP.

YANKEE FINANCIAL GROUP, INC.

GMS GROUP

WISE PLANNING CORP.

WISE PLANNING CORP.

MONY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 10/1/2004

SIE

Date: 10/1/2018

Series 6

Date: 5/10/1982

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANDERBILT SECURITIES, LLC

TRUST BUT VERIFY

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