Neal J. Berkowitz
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 Joel Berkowitz, who also goes by Neal J Berkowitz, was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1991. Neal had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2019 - April 2, 2020
ANOS CAPITAL, LLC
April 8, 1991 - April 24, 2018
CBIS FINANCIAL SERVICES, 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
Current Firm
ANOS CAPITAL, LLC
CRD#: 284714 / SEC#: , 8-69809
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANOS HOLDINGS, LLC | OWNER | |
| DALLAL, JEFFREY HARON | PRESIDENT/CHIEF OPERATING OFFICER | 2316096 |
| DANIELE, EDWARD ROBERT | CHIEF COMPLIANCE OFFICER/AML OFFICER | 1224878 |
| EMMERICH, CLIFFORD GENNARO | SENIOR MANAGING DIRECTOR HEAD OF SALES AND TRADING | 2412767 |
| IANNUCCI, MICHAEL CHRISTOPHER | IA TRANSITION MANAGEMENT | 4709972 |
| PAPATSOS, JOHN NICK | FINOP | 4416912 |
| RIVELLI, DOUGLAS DUVALL | CHIEF EXECUTIVE OFFICER | 2174199 |
Red Flags
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