Neil A. Wallach
Professional summary
Neil Andrew Wallach, who also goes by Neil A Wwallach, is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Commack, New York.
Neil is registered as a RR (Registered Representative) and started their career in finance in 1984. Neil has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neil Andrew Wallach's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2014 - Present
VANDERBILT SECURITIES, LLC
January 6, 2004 - December 23, 2013
RAMPART FINANCIAL SERVICES, INC.
August 1, 2003 - December 31, 2003
WALNUT STREET SECURITIES, INC.
February 14, 1995 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
June 18, 1992 - February 15, 1995
JARON EQUITIES CORP.
August 6, 1987 - October 24, 1989
AETNA FINANCIAL SERVICES, INC.
August 6, 1987 - May 25, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
March 6, 1986 - June 9, 1987
WALNUT STREET SECURITIES, INC.
February 1, 1984 - February 24, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 1, 1984 - February 25, 1986
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/27/2014)
(1/23/2014)
(1/3/2023)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
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
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.
