Neil B. Stamm
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.
Neil Brian Stamm was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1984. Neil had worked at 5 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
April 30, 1992 - October 5, 1992
KOBER FINANCIAL CORP.
June 28, 1991 - May 13, 1992
CHATFIELD DEAN & CO., INC.
January 17, 1990 - June 24, 1991
OSAIC FS, INC.
March 10, 1989 - February 9, 1990
HIMCO DISTRIBUTION SERVICES COMPANY
April 16, 1984 - April 13, 1988
SIGNATOR INVESTORS, INC.
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
KOBER FINANCIAL CORP.
CRD#: 17551 / SEC#: , 8-35274
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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