Neil M. Schwartz
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 Martin Schwartz was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1987. Neil had worked at 4 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
April 2, 2018 - March 25, 2019
VOYA FINANCIAL ADVISORS, INC.
June 28, 2016 - December 31, 2016
VOYA FINANCIAL ADVISORS, INC.
May 6, 2013 - December 31, 2016
VOYA FINANCIAL ADVISORS, INC.
October 31, 2000 - June 12, 2001
EQUITAS AMERICA, LLC
November 24, 1995 - November 11, 1998
OSAIC FS, INC.
November 9, 1987 - January 4, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
