Neil A. Solomon
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 Alan Solomon, who also goes by Neil Alan Soloman, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1987. Neil had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 1999 - July 12, 2017
FIDELITY DISTRIBUTORS COMPANY LLC
November 13, 1996 - November 19, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 13, 1996 - November 19, 1998
EQUITABLE ADVISORS, LLC
September 9, 1991 - November 5, 1996
METROPOLITAN LIFE INSURANCE COMPANY
September 9, 1991 - November 5, 1996
MSI FINANCIAL SERVICES, INC.
June 7, 1989 - February 12, 1990
NETWORK 1 FINANCIAL SECURITIES INC.
May 26, 1989 - June 20, 1989
FIRM ONE SECURITIES, INCORPORATED
January 12, 1989 - May 25, 1989
U.S. ADVISORS, INC.
April 20, 1988 - January 24, 1989
GRAYSTONE NASH, INC.
June 24, 1987 - February 10, 1988
BROWNSTONE-SMITH SECURITIES CORP.
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
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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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