Neal J. Simon
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 Jerry Simon was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 2002. Neal had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2015 - May 9, 2019
WEALTHSPIRE ADVISORS
March 27, 2007 - December 16, 2015
HIGHLINE WEALTH MANAGEMENT, LLC
October 8, 2002 - April 11, 2007
MELTZER WEALTH MANAGEMENT
May 2, 2002 - October 24, 2002
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WEALTHSPIRE ADVISORS
CRD#: 168095 / SEC#: 801-78179
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
