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JN

Jonathan J. Neal

Some features on this profile are disabled
CRD#: 1325232
JN

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.

Jonathan Jay Neal was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 1985. Jonathan had worked at 10 firms and has passed the Series 63, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

December 10, 2008 - December 31, 2011

AVALON INVESTMENT & SECURITIES GROUP, INC.

BD
CRD#: 6281
MUSCLE SHOALS, AL
Past

October 31, 2005 - December 31, 2006

RESOURCE HORIZONS GROUP LLC

BD
CRD#: 104368
MARIETTA, GA
Past

March 17, 2003 - September 14, 2005

DUNWOODY BROKERAGE SERVICES, INC.

BD
CRD#: 31183
ATLANTA, GA
Past

March 17, 2000 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN
Past

March 17, 2000 - March 20, 2003

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

May 4, 1994 - January 9, 2000

DUNWOODY BROKERAGE SERVICES, INC.

BD
CRD#: 31183
ATLANTA, GA
Past

May 6, 1991 - December 31, 1992

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

October 23, 1989 - April 9, 1991

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

April 11, 1988 - July 19, 1989

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 15, 1988 - April 11, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

February 4, 1985 - March 26, 1988

MORGAN STANLEY DW INC.

BD
CRD#: 7556

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
RR
Series 63
Date: 1/23/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/7/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1985
General Securities Representative Examination

Current Firm

AI
AVALON INVESTMENT & SECURITIES GROUP, INC.
AVALON INVESTMENT & SECURITIES GROUP, INC. | DAS A. BORDEN & ASSOCIATES

CRD#: 6281 / SEC#: , 8-17078

BD
Cancelled by SEC on 06/14/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Alabama since 03/31/1972
Firm type
Corporation
Fiscal year end
March
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BORDEN, DAS ARNOLDPRESIDENT, AND 100 % OWNER26096
BORDEN, DAS ARNOLDCHIEF EXECUTIVE OFFICER26096
ANDERS, WILLIAM TROY IIICHIEF COMPLIANCE OFFICER4170321

Disclosures

Regulatory Event14

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.

Company Information

AVALON INVESTMENT & SECURITIES GROUP, INC.

CRD#: 6281

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