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RN

Richard H. Neubert

NETWORK 1 FINANCIAL SECURITIES
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 1360736
RN

Professional summary

Richard Herbert Neubert is a registered financial professional currently at NETWORK 1 FINANCIAL SECURITIES INC. located in Red Bank, New Jersey.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

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) - BD

Click below to view Richard Herbert Neubert's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

October 29, 2003 - Present

NETWORK 1 FINANCIAL SECURITIES INC.

Office #1: The Galleria Penthouse, Building 2 Suite 241 2 Bridge Avenue, Red Bank, NJ, 07701
BD
CRD#: 13577
Red Bank, NJ
Past

May 31, 2007 - December 31, 2025

NETWORK 1 FINANCIAL ADVISORS INC.

RIA
CRD#: 121239
Chocowinity, NC
Past

October 23, 2002 - November 21, 2003

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

January 28, 2000 - October 23, 2002

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

November 2, 1998 - February 24, 2000

PACIFIC CONTINENTAL SECURITIES CORPORATION

BD
CRD#: 2398
BEVERLY HILLS, CA
Past

December 9, 1994 - November 5, 1998

PATTERSON TRAVIS, INC.

BD
CRD#: 16540
ENGLEWOOD, CO
Past

August 5, 1994 - November 1, 1994

WESTFIELD FINANCIAL CORPORATION

BD
CRD#: 8143
NEW YORK, NY
Past

May 24, 1988 - September 7, 1994

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
NEW YORK, NY
Past

February 2, 1987 - May 31, 1988

SHERWOOD CAPITAL, INC.

BD
CRD#: 10474
Past

July 24, 1985 - January 31, 1987

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(1/2/2004)
RR
New Jersey
(11/7/2003)
RR
New York
(10/29/2003)
RR
North Carolina
(8/5/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/21/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/12/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/11/1993
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

N1
NETWORK 1 FINANCIAL SECURITIES INC.
ASSET PLANNING & DEVELOPMENT, INC. | STOCKAMERICA, INCORPORATED | NETWORK 1 FINANCIAL SECURITIES INC. | NETWORK 1 FINANCIAL SECURITIES

CRD#: 13577 / SEC#: , 8-29471

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701
Mailing Address
The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701
Phone number
(732) 758-9001
Established
Texas since 03/15/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NETWORK 1 FINANCIAL GROUP, INC.( ISSI)SHAREHOLDER
ARTICLE THIRD TR UWO RICHARD W. HUNT FBO MADISON HUNTSHAREHOLDER
BRUNO, VINCENT MICHAELCHIEF COMPLIANCE OFFICER1845833
HUNT, WILLIAM RICHARD JRDIRECTOR, PRESIDENT, COO & FINOP, TRUSTEE830575
TESTAVERDE, DAMON DOMENICVICE PRESIDENT444453

Disclosures

Regulatory Event21
Arbitration4

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

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577Red Bank, NJ 07701

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