Stephanie Neely
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.
Stephanie Neely, who also goes by Stephanie Neely Boyd, Stephanie Denyce Neely, Stephanie Denyce Neely-boyd, Stephanie Denyce Neelyboyd, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1994. Stephanie had worked at 8 firms and has passed the Series 63, Series 3, Series 7TO, 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
February 8, 2019 - October 17, 2023
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
July 17, 2006 - December 4, 2006
NORTHERN TRUST SECURITIES, INC.
March 9, 2004 - September 30, 2005
BLAYLOCK & COMPANY, INC.
October 16, 2002 - March 16, 2004
LASALLE FINANCIAL SERVICES, INC.
June 27, 2000 - October 3, 2002
JACKSON SECURITIES LLC
February 6, 1998 - June 12, 2000
BANC ONE CAPITAL MARKETS, INC.
June 16, 1997 - January 14, 1998
MELVIN SECURITIES, L.L.C.
June 3, 1994 - July 16, 1996
UBS FINANCIAL SERVICES INC.
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 7TO
Date: 2/8/2019
General Securities Representative ExaminationCurrent Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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