Alex E. Neely
Professional summary
Alex Ezell Neely was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alex is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Alex had worked at 2 firms, which includes KAISER AND COMPANY, DAIN RAUSCHER INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1988 - July 6, 1998
KAISER AND COMPANY
March 22, 1984 - January 4, 1988
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
KAISER AND COMPANY
CRD#: 14186 / SEC#: , 8-30295
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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