Neal R. Spier
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.
Neal Robert Spier was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1988. Neal had worked at 3 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 27, 2009 - March 11, 2014
PORTIGON SECURITIES INC.
March 30, 2007 - November 24, 2008
CREDIT AGRICOLE SECURITIES (USA) INC.
June 20, 1988 - November 28, 1988
FORESTERS 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
Current Firm
PORTIGON SECURITIES INC.
CRD#: 10050 / SEC#: , 8-20494
Contact information
Documents
Direct owners and executive officers
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.
