Gail J. Neujahr
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.
Gail Joan Neujahr, who also goes by Gail Neujahr Baldini, Gail Mohar, Gail J Neujahr, Gail Joan Neujahr, was a registered financial professional .
Gail is a previously registered financial professional and started their career in finance in 1990. Gail had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 16 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2018 - March 13, 2018
BANKERS LIFE SECURITIES, INC.
April 23, 2015 - March 22, 2016
CURIAN CLEARING, LLC
September 12, 2013 - March 22, 2016
CURIAN CAPITAL, LLC
February 28, 1992 - October 5, 2004
CHARLES SCHWAB & CO., INC.
September 19, 1990 - February 25, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 12/15/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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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