Donald J. Neil

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CRD#: 1253671

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.

Donald Jay Neil, who also goes by Donald J Neil, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1984. Donald had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Donald J Neil

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 22, 2013 - September 29, 2015

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

June 18, 2012 - January 4, 2013

HB SECURITIES, LLC

CRD#: 140356

CORAL SPRINGS, FL

Past

October 6, 2005 - January 23, 2012

KOVACK SECURITIES INC.

CRD#: 44848

FT. LAUDERDALE, FL

Past

July 29, 1999 - September 23, 2005

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

July 14, 1995 - July 19, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 31, 1993 - July 27, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 14, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 10, 1985 - June 11, 1993

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

January 9, 1985 - April 29, 1985

BRODIS SECURITIES INCORPORATED

CRD#: 1135

Past

June 20, 1984 - December 6, 1984

VANTAGE SECURITIES OF COLORADO, INC.

CRD#: 8622

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/5/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/15/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/29/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida

Registered Investment Advisory firm - SEC (11/7/2019 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (3/31/2016 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (1/6/2012 Approved)

Texas

Registered Investment Advisory firm - SEC (12/16/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/21/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528

Mailing Address

820 Tyvola Road-suite 104, Charlotte, NC 28217

Phone number

(704) 527-7873

Established

North Carolina since 12/06/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
BLACK, JONATHAN HARRISON	PRESIDENT/CEO/CCO/FINOP	4975641
PLEXICO, RONALD DAVID JR	PRINCIPAL	2122340

Disclosures

Regulatory Event	3
Arbitration	3

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.

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Firm Stability Insights

Donald J. Neil

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HB SECURITIES, LLC

KOVACK SECURITIES INC.

SECURITIES AMERICA, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

A. G. EDWARDS & SONS, INC.

BRODIS SECURITIES INCORPORATED

VANTAGE SECURITIES OF COLORADO, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/1997

Series 63

Date: 11/15/1984

SIE

Date: 9/29/2015

Series 7

Date: 6/16/1984

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

TRUST BUT VERIFY

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