Neal M. Dietz
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.
Neal Michael Dietz was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1984. Neal had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - November 20, 2012
P.L.A.N.
March 4, 2008 - December 31, 2014
DIETZ & LYNCH CAPITAL
September 26, 2007 - December 18, 2024
LPL FINANCIAL LLC
September 20, 2007 - December 18, 2024
LPL FINANCIAL LLC
October 1, 1999 - September 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - September 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
April 1, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 23, 1995 - March 25, 1999
ADVEST, INC.
May 22, 1984 - February 10, 1995
PRUDENTIAL EQUITY GROUP, 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
Exams
Series 8
Date: 2/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
P.L.A.N.
CRD#: 151072 / SEC#:
Contact information
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.
