Neil D. Winward
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 David Winward was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1991. Neil had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2018 - May 24, 2019
MARINER GROUP CAPITAL MARKETS, LLC
December 23, 2015 - October 17, 2016
OCP CAPITAL, LLC
November 6, 2012 - December 16, 2015
CHATHAM FINANCIAL SECURITIES LLC
May 19, 2010 - October 19, 2012
MCS CAPITAL MARKETS LLC
January 19, 2009 - April 23, 2009
EUREKA CAPITAL MARKETS, LLC
December 17, 1996 - February 7, 2007
COMMERZ MARKETS LLC
May 30, 1991 - December 17, 1996
KLEINWORT BENSON NORTH AMERICA INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MARINER GROUP CAPITAL MARKETS, LLC
CRD#: 25878 / SEC#: , 8-42116
Contact information
FINRA licenses (4 States and Territories)
Documents
Red Flags
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