Daniel J. Neumann
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.
Daniel John Neumann, who also goes by Dan Or Danny Neumann, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1983. Daniel had worked at 2 firms and has passed the 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
October 3, 2014 - March 26, 2024
NEUMANN CAPITAL MANAGEMENT
April 19, 1983 - February 24, 1992
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
NEUMANN CAPITAL MANAGEMENT
CRD#: 112182 / SEC#: 801-41001
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
NEUMANN CAPITAL MANAGEMENT
CRD#: 112182 / SEC#: 801-41001
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 584 |
| AUM (Assets Under Management) | $ 568,518,840 |
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.
