Neal S. Smalbach
Professional summary
Neal Seth Smalbach was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Neal is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Neal had worked at 12 firms, which includes SUMMIT BROKERAGE SERVICES INC., GUNNALLEN FINANCIAL INC, BROOKSTREET SECURITIES CORPORATION, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, JWGENESIS FINANCIAL GROUP INC, CHATFIELD DEAN & CO. INC., DONALD & CO. SECURITIES INC., MORGAN STANLEY DW INC., UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2008 - July 8, 2008
SUMMIT BROKERAGE SERVICES, INC.
March 2, 2005 - June 17, 2008
GUNNALLEN FINANCIAL, INC
February 28, 2005 - June 17, 2008
GUNNALLEN FINANCIAL, INC
October 1, 2001 - March 1, 2005
BROOKSTREET SECURITIES CORPORATION
September 27, 2001 - March 1, 2005
BROOKSTREET SECURITIES CORPORATION
January 2, 2001 - October 4, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 4, 1999 - January 2, 2001
JWGENESIS FINANCIAL GROUP, INC
September 25, 1996 - January 4, 1999
CHATFIELD DEAN & CO., INC.
October 17, 1995 - September 30, 1996
DONALD & CO. SECURITIES INC.
December 16, 1994 - October 13, 1995
MORGAN STANLEY DW INC.
July 6, 1992 - January 11, 1995
UBS FINANCIAL SERVICES INC.
December 8, 1989 - August 6, 1992
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - January 2, 1990
LEHMAN BROTHERS INC.
February 19, 1986 - April 11, 1988
E. F. HUTTON & COMPANY 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
Current Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
Red Flags
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