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Thomas Ward Neukranz

CRD# 1702948·Registered 1992 - 2024
Previously Registered: Being a previously registered professional could mean that Thomas 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.

Professional Summary

Thomas Ward Neukranz, who also goes by Thomas Neukranz, Neukranz, Tom Ward Neukranz, Thomas W Neukranz, Thomas Ward Neukranz, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1992 - 2024. Thomas had worked at 12 firms and has passed the Series 63, Series 72, Series 82TO, SIE, Series 3, Series 7 and Series 30 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Thomas Neukranz, Neukranz, Tom Ward Neukranz, Thomas W Neukranz, Thomas Ward Neukranz

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

WEILD & CO.·CRD# 132398
BD
Boulder, CO
October 15, 2021 - January 27, 2024
COLORADO FINANCIAL SERVICE CORPORATION·CRD# 104343
BD
Centennial, CO
August 17, 2018 - October 24, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC·CRD# 16164
BD
St Petersburg, FL
November 12, 2015 - September 6, 2016
GUARDIAN INVESTOR SERVICES LLC·CRD# 6635
BD
New York, NY
August 30, 2011 - December 4, 2013
VOYA INVESTMENTS DISTRIBUTOR, LLC·CRD# 37886
BD
New York, NY
July 21, 2010 - June 22, 2011
ING INVESTMENT MANAGEMENT SERVICES LLC·CRD# 21644
BD
New York, NY
October 23, 2006 - August 18, 2010
VP DISTRIBUTORS, LLC·CRD# 3036
BD
Hartford, CT
February 14, 2001 - July 18, 2006
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
New York, NY
July 30, 1999 - July 13, 2000
JPMSI·CRD# 15733
BD
New York, NY
April 14, 1993 - August 17, 1999
LEHMAN SPECIAL SECURITIES INC.·CRD# 7242
BD
September 29, 1992 - March 23, 1993
LEHMAN GOVERNMENT SECURITIES INC.·CRD# 19655
BD
September 29, 1992 - March 23, 1993
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
September 29, 1992 - March 23, 1993

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Current Firm

W&
WEILD & CO.

CMA PARTNERS, LLC | WEILD CAPITAL, LLC | WEILD & CO., LLC | WEILD & CO. | THE NATIONAL RESEARCH STANDARD, INC. | THE NATIONAL RESEARCH STANDARD | THE NATIONAL RESEARCH EXCHANGE | ISSUWORKS CAPITAL, LLC

CRD#: 132398 / SEC#: 8-66593
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)

Contact Information

Main Address

777 29th Street Suite 402, Boulder, CO 80303

Mailing Address

777 29th Street Suite 402, Boulder, CO 80303

Phone Number

(303) 223-9621

Established

New York since 10/22/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEILD & CO., INC.SOLE MEMBER—
ONESTO, RICHARD ERNESTFINOP2453096
WEILD, DAVID IVMEMBER, CHAIRMAN AND CEO1336395
WEILD, DAVID IVCHIEF COMPLIANCE OFFICER, AML PRINCIPAL1336395

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1994About the Series 63 exam

Series 72 — Government Securities Representative Examination

Passed Jan 2023

Series 82TO — Limited Representative-Private Securities Offerings

Passed Jan 2023About the Series 82TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Mar 2016About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Oct 1992About the Series 7 exam

Series 30 — NFA Branch Manager Examination

Passed Jul 1994About the Series 30 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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