Loren S. Neumann
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.
Loren S Neumann, who also goes by Loren Shay Neumann, Laura Ann Shabarack ^, Laura Shabarack, Loren Ann Shay ^, Loren Ann Shay, was a registered financial professional .
Loren is a previously registered financial professional and started their career in finance in 1989. Loren had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6, Series 9, Series 10, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2010 - March 15, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 16, 2010 - March 15, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 10, 2003 - October 22, 2010
UBS FINANCIAL SERVICES INC.
January 10, 2003 - October 22, 2010
UBS FINANCIAL SERVICES INC.
August 28, 2002 - November 27, 2002
HOTOVEC, POMERANZ & CO., LLC
January 9, 2002 - December 18, 2002
HOTOVEC, POMERANZ & CO., LLC
June 22, 1999 - June 8, 2001
BANC OF AMERICA SECURITIES LLC
April 22, 1998 - June 4, 1999
AMERIPRISE ADVISOR SERVICES, INC.
August 10, 1994 - December 31, 1997
OHANESIAN / LECOURS, INC.
April 21, 1993 - June 21, 1994
MORGAN STANLEY DW INC.
December 3, 1992 - February 19, 1993
GRUNTAL & CO., L.L.C.
October 5, 1989 - December 10, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 8
Date: 8/23/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
