Linda J. Nealy
Professional summary
Linda Joyce Nealy, who also goes by Linda Joyce Milton, is a registered financial professional currently at VISION FINANCIAL MARKETS LLC located in Stamford, Connecticut.
Linda is registered as a RR (Registered Representative) and started their career in finance in 2016. Linda has worked at 1 firm and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Linda Joyce Nealy's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 24, 2016 - Present
VISION FINANCIAL MARKETS LLC
Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901Office #2: 1010 Washington Blvd Suite 300, Stamford, CT 06901State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
VISION FINANCIAL MARKETS LLC
CRD#: 142271 / SEC#: , 8-67447
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHMAN, HOWARD MARTIN | PRESIDENT, CFO, CEO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| ROTHMAN, MICHAEL DAVID | GENERAL MANAGER | 6682487 |
| FELAG, JOHN CHRISTOPHER | CHIEF RISK OFFICER | 1874602 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VICE PRESIDENT OPERATIONS, PRINCIPAL OPERATIONS OFFICER | 5288054 |
Disclosures
| Regulatory Event | 32 |
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