Robert F. Neuman
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.
Robert F. Neuman, who also goes by Robert Frank Neuman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - June 1, 2022
J.P. MORGAN SECURITIES LLC
October 1, 2012 - June 1, 2022
J.P. MORGAN SECURITIES LLC
September 11, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 11, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 23, 2009 - August 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - August 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 1, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 8, 2000 - December 31, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 1999 - December 31, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
December 3, 1992 - July 1, 1998
SEAFIRST INVESTMENT SERVICES, INC.
April 23, 1992 - July 10, 1992
IDS LIFE INSURANCE COMPANY
April 23, 1992 - July 10, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
