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Neal E. Neilinger

THIRD SEVEN CAPITAL LLC
Palm Beach Gardens, FL 33418
Some features on this profile are disabled
CRD#: 1814368
NN

Professional summary

Neal Eric Neilinger, who also goes by Neal E. Neilinger, Neal Neilinger, Neal Eric Neilinger, is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Palm Beach Gardens, Florida.

Neal is registered as a RR (Registered Representative) and started their career in finance in 1988. Neal has worked at 17 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Neal E. Neilinger | Neal Neilinger | Neal Eric Neilinger

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neal Eric Neilinger's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 7, 2023 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 4822 Northlake Blvd B3, Palm Beach Gardens, FL 33418
BD
CRD#: 160209
Palm Beach Gardens, FL
Past

April 15, 2021 - March 16, 2023

JEFFERIES LLC

BD
CRD#: 2347
MIAMI, FL
Past

September 7, 2018 - April 29, 2021

INTE SECURITIES LLC

BD
CRD#: 47107
BOCA RATON, FL
Past

November 19, 2015 - January 20, 2017

KIMBERLITE ADVISORS, LLC

BD
CRD#: 153501
NEW YORK, NY
Past

January 3, 2014 - October 22, 2015

OMNICAP, LLC

BD
CRD#: 137353
NEW YORK, NY
Past

April 29, 2013 - December 12, 2016

CONGRESSIONAL CAPITAL MANAGEMENT

RIA
CRD#: 166136
WASHINGTON, DC
Past

December 22, 2008 - January 19, 2012

ALADDIN CAPITAL LLC

BD
CRD#: 103766
STAMFORD, CT
Past

January 10, 2008 - November 25, 2008

NS GLOBAL SECURITIES LLC

BD
CRD#: 144001
GREENWICH, CT
Past

December 3, 2007 - December 31, 2009

NSM CAPITAL MANAGEMENT LLC

RIA
CRD#: 143935
GREENWICH, CT
Past

February 6, 2002 - April 1, 2003

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

BD
CRD#: 24074
NEW YORK, NY
Past

July 14, 2000 - May 19, 2005

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

March 14, 2000 - July 10, 2000

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

August 14, 1998 - May 10, 1999

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

December 4, 1991 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

BD
CRD#: 7242
Past

December 4, 1991 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

December 4, 1991 - September 16, 1997

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 22, 1988 - October 2, 1991

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(7/7/2023)
RR
Florida
(7/7/2023)
RR
New York
(7/7/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/26/2013
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/19/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THIRD SEVEN CAPITAL LLC
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
67 Holly Hill Lane Suite 8500, New York, NY 10022
Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
Phone number
(917) 602-6153
Established
Delaware since 07/06/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THIRD SEVEN GROUP LLCHOLDING COMPANY
DIFIORE, MONICA LISACCO2966552
LEDGER, NICHOLAS MARKCEO/CFO6779287
SAKOL, DANIEL SCOTTFIN OP2813237

Disclosures

Regulatory Event1

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.

Company Information

THIRD SEVEN CAPITAL LLC

CRD#: 160209Palm Beach Gardens, FL 33418

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