Neil P. Lucey
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 Patrick Lucey was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1985. Neil had worked at 2 firms and has passed the Series 63, Series 79TO, SIE 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 1, 2002 - December 13, 2022
ARUNDEL (SECURITIES), INC.
October 10, 1985 - June 30, 2000
ROTHSCHILD & CO US INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ARUNDEL (SECURITIES), INC.
CRD#: 43573 / SEC#: , 8-50325
Contact information
Documents
Direct owners and executive officers
Red Flags
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