Neil A. Greene
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 Allen Greene was a registered financial advisor .
Neil is a previously registered financial advisor and started their career in finance in 1989. Neil had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2023 - December 31, 2024
GREAT POINT CAPITAL LLC
August 22, 2003 - February 3, 2023
NEWBRIDGE SECURITIES CORPORATION
November 19, 1999 - August 6, 2003
RAYMOND JAMES & ASSOCIATES, INC.
November 18, 1999 - August 6, 2003
RAYMOND JAMES & ASSOCIATES, INC.
January 18, 1996 - November 17, 1999
GRUNTAL & CO., L.L.C.
May 10, 1994 - December 4, 1995
MORGAN STANLEY DW INC.
August 31, 1992 - May 4, 1994
PRUDENTIAL EQUITY GROUP, LLC
June 20, 1989 - September 10, 1992
LEHMAN BROTHERS INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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