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Neil J. Wessan

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CRD#: 1951728
NW

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 Jonathan Wessan was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 1989. Neil had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

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

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

Past

August 4, 2021 - February 7, 2024

ANKURA CAPITAL ADVISORS, LLC

BD
CRD#: 114155
NEW YORK, NY
Past

April 12, 2019 - December 31, 2019

FIRST CITIZENS INSTITUTIONAL ASSET MANAGEMENT, LLC

RIA
CRD#: 285836
NEW YORK, NY
Past

May 22, 2012 - December 4, 2020

FIRST CITIZENS CAPITAL SECURITIES, LLC

BD
CRD#: 41504
NEW YORK, NY
Past

January 12, 2011 - June 5, 2012

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

January 14, 2009 - September 3, 2009

JEFFERIES HIGH YIELD TRADING, LLC

BD
CRD#: 47363
STAMFORD, CT
Past

March 12, 2004 - September 3, 2009

JEFFERIES LLC

BD
CRD#: 2347
STAMFORD, CT
Past

November 3, 1997 - April 5, 2004

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

June 13, 1997 - November 3, 1997

CIBC WOOD GUNDY SECURITIES CORP.

BD
CRD#: 3801
NEW YORK, NY
Past

November 6, 1995 - May 12, 1997

ING BARING (U.S.) SECURITIES, INC.

BD
CRD#: 5285
NEW YORK, NY
Past

May 15, 1995 - November 6, 1995

INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION

BD
CRD#: 31797
Past

October 5, 1993 - May 17, 1995

ING BARING (U.S.) SECURITIES, INC.

BD
CRD#: 5285
NEW YORK, NY
Past

January 10, 1992 - August 17, 1993

AURIA SERVICES CORP.

BD
CRD#: 27851
NEW YORK, NY
Past

October 24, 1991 - August 17, 1993

FIELDSTONE PRIVATE CAPITAL GROUP, L.P.

BD
CRD#: 28111
NEW YORK, NY
Past

May 23, 1989 - August 17, 1990

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/1/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/16/2005
General Securities Principal Examination

Current Firm

AC
ANKURA CAPITAL ADVISORS, LLC
ANKURA CAPITAL ADVISORS, LLC | NAVIGANT CONSULTING ENERGY CAPITAL, LLC | NAVIGANT CONSULTING CAPITAL, LLC | NAVIGANT CAPITAL ADVISORS, LLC

CRD#: 114155 / SEC#: , 8-53403

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

Main Address
485 Lexington Avenue 10th Floor, New York, NY 10017
Mailing Address
485 Lexington Avenue 10th Floor, New York, NY 10017
Phone number
(212) 818-1555
Established
Delaware since 06/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THOREAU HOLDCO, LLCSOLE MEMBER
HILFER, STEVEN MARTINDIRECTOR1744802
LENART, BRIAN DOUGLASCCO, AMLCO736107
OBSBAUM, FREDRIC MICHAELFINOP, PFO/POO1160811

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

ANKURA CAPITAL ADVISORS, LLC

CRD#: 114155

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