Neil A. Mize
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 Andrew Mize was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1986. Neil had worked at 9 firms and has passed the Series 63, SIE 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
November 14, 2014 - May 16, 2017
STATE FARM VP MANAGEMENT CORP.
October 10, 2013 - June 9, 2014
SIGNATOR FINANCIAL SERVICES, INC.
September 10, 2012 - October 14, 2013
PRUCO SECURITIES, LLC.
January 27, 2010 - August 30, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 29, 2005 - December 10, 2009
ALLSTATE FINANCIAL SERVICES, LLC
December 20, 2001 - August 15, 2005
WOODBURY FINANCIAL SERVICES, INC.
February 18, 2000 - December 12, 2001
EQUITY SERVICES, INC.
August 21, 1997 - February 17, 2000
SANTA FE SECURITIES CORP.
March 20, 1990 - August 20, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 1, 1986 - December 31, 1989
EQUITY 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
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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