Neal J. Shikes
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.
Neal Jay Shikes was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1991. Neal had worked at 7 firms and has passed the Series 65, Series 63, 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
September 7, 2015 - November 29, 2016
BENJAMIN & JEROLD BROKERAGE I, LLC
August 20, 2013 - September 4, 2013
CLARK DODGE & CO., INC.
August 30, 2007 - June 16, 2010
CHASE INVESTMENT SERVICES CORP.
August 30, 2007 - June 16, 2010
CHASE INVESTMENT SERVICES CORP.
October 4, 2004 - July 31, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2004 - July 31, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2002 - June 1, 2004
CHASE INVESTMENT SERVICES CORP.
July 19, 2000 - November 29, 2001
NATIONAL FINANCIAL SERVICES LLC
July 9, 1997 - June 28, 2000
INVEST FINANCIAL CORPORATION
April 24, 1991 - June 23, 1997
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BENJAMIN & JEROLD BROKERAGE I, LLC
CRD#: 29110 / SEC#: , 8-44133
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
Red Flags
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