Neil A. White
Professional summary
Neil Anthony White was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Neil is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Neil had worked at 7 firms, which includes BARRON CHASE SECURITIES INC., LCP CAPITAL CORP., MONITOR INVESTMENT GROUP INC., CROWN FINANCIAL GROUP INC., L.C. WEGARD & CO. INC., HIBBARD BROWN & CO. INC., SHERWOOD CAPITAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 1997 - November 25, 1998
BARRON CHASE SECURITIES, INC.
March 20, 1996 - September 4, 1997
LCP CAPITAL CORP.
January 22, 1996 - March 13, 1996
MONITOR INVESTMENT GROUP, INC.
September 20, 1995 - October 31, 1995
CROWN FINANCIAL GROUP, INC.
March 23, 1992 - September 21, 1995
L.C. WEGARD & CO., INC.
May 24, 1988 - March 9, 1992
HIBBARD BROWN & CO., INC.
February 26, 1987 - May 31, 1988
SHERWOOD CAPITAL, 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
BARRON CHASE SECURITIES, INC.
CRD#: 18969 / SEC#: , 8-37107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL FINANCIAL | OWNER | |
| AIELLO, PHILIP JOHN JR | V.P. | 2214889 |
| ANDOLPHO, PETER DONALD JR | V.P. | 2034938 |
| BLUNDELL, ROGER JAMES | V.P. | 2228388 |
| COLLURA, ANTHONY BURKE | V.P. | 1212502 |
| CRISTIANO, GENNARO JERRY | V.P. | |
| FEINMEL, HOWARD | CHEIF COMPLIANCE OFFICER CCO | 1330613 |
| GALLEGOS, CRAIG STEVEN | V.P. | 2026646 |
| GRIMM, KENTON EDWARD | V.P. | 1474702 |
| HAFEZI, KIOUMARS | V.P | 1725946 |
| HERMAN, BRIAN MARCUS | V.P. | 1927274 |
| KIRK, ROBERT THOMAS | CEO | 1204425 |
| KLEIN, JAY ALAN | CFO / FINOP | 3233468 |
| LIMA, MARIE SANTA | V.P. | 2727745 |
| LOCKHART, ROGER DEAN | V.P. | 1581173 |
| MACKLE, DANIEL JOSEPH SR | V.P. | 2239531 |
| MEDRANO, PAUL DEAN | V.P. | 1550449 |
| NOLE, JOHN ANTHONY | V.P. | 1609191 |
| OHALLORAN, DANIEL PATRICK | V.P. | 1391521 |
| OREILLY, RICHARD DONLON | V.P. | 845839 |
| ORLANDO, JOHN ANTHONY | V.P | 2002197 |
| PARSI, JOEY AMIR | V.P. | 1933342 |
| PETRUSHA, MICHAEL EDWARD | V.P. | 1690224 |
Disclosures
| Regulatory Event | 13 |
| Civil Event | 2 |
| Arbitration | 29 |
Red Flags
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