NF
Neil S. Fineman
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CRD#: 2225170
NF
Professional summary
Neil S Fineman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Neil is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Neil had worked at 14 firms, which includes FIRST ALLIED ADVISORY SERVICES INC., FIRST ALLIED SECURITIES INC., OSAIC SERVICES INC., REGAL SECURITIES INC., BROOKSTREET SECURITIES CORPORATION, SUNAMERICA SECURITIES INC., JVB FINANCIAL GROUP LLC, PRUDENTIAL EQUITY GROUP LLC, JANNEY MONTGOMERY SCOTT LLC, ADVEST INC., JWGENESIS SECURITIES INC., JOSEPHTHAL & CO. INC., D. BLECH & COMPANY INCORPORATED, CHATFIELD DEAN & CO. INC..
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
February 27, 2014 - February 1, 2016
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
LAS VEGAS, NV
Past
February 24, 2014 - January 25, 2016
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
LAS VEGAS, NV
Past
September 27, 2013 - February 25, 2014
OSAIC SERVICES, INC.
BD
CRD#: 133763
LAS VEGAS, NV
Past
July 2, 2007 - October 10, 2013
REGAL SECURITIES, INC.
BD
CRD#: 7297
LAS VEGAS, NV
Past
October 7, 2005 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
LAS VEGAS, NV
Past
June 16, 2005 - September 2, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
October 28, 2003 - January 28, 2004
JVB FINANCIAL GROUP, LLC
BD
CRD#: 104412
BOCA RATON, FL
Past
January 24, 2000 - December 5, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 4, 1999 - January 26, 2000
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, PA
Past
September 8, 1995 - January 22, 1999
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
September 30, 1994 - October 2, 1995
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
September 23, 1994 - October 4, 1994
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
June 1, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
BD
CRD#: 26063
NEW YORK, NY
Past
June 12, 1992 - May 27, 1994
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FA
FIRST ALLIED ADVISORY SERVICES, INC.
"MONEY MAKE OVER"; FPA OF SAN JUAQUIN | CLOVER WEALTH MANAGEMENT, LTD | CLARK FINANCIAL GROUP LLC | CLARITY FINANCIAL SERVICES | CIMCO WEALTH ADVISORS | CIMCO PRIVATE WEALTH | CHRISTOPHER S. WRIGHT MANAGEMENT CORPORATION | CHRISTINE TANG INVESTMENTS | CHIP COUGHLIN & COMPANY | CHIP COUGHLIN & CO. | CHICHESTER WOLD FINANCIAL, LLC | CHICHESTER FINANCIAL GROUP LLC | CHESTNUT INVESTMENT GROUP | CHARLES R DUNN INVESTMENT ADVISORS | CENTER FOR FINANCIAL SOLUTIONS WEALTH MANAGEMENT | CATER WEALTH MANAGEMENT | CATER ENTERPRISES | CASTLEROCK INSURANCE GROUP | CASTLE ROCK WEALTH MANAGEMENT | CASSEDY FINANCIAL GROUP, INC. | CAROLINA CAPITAL GROUP, INC. | CARNS FINANCIAL GROUP | CARLTON WEALTH MANAGEMENT, LLC | CARLTON MACLACHLAN, LLC | CARDINAL WEALTH MANAGEMENT | CARD INVESTMENT GROUP, INC. | CAPITAL ROCK ADVISORS | CAPITAL MANAGEMENT WEALTH AND RETIREMENT PLANNING | CAPITAL LEGACY INVESTEMENTS, LLC | CAPITAL INVESTMENT MANAGEMENT | CAPITAL CONCEPTS | CAPITAL ASSET MANAGEMENT, LLC | CAPITAL ASPECTS | CAMPANALE CONSULTING GROUP LLC | CAMBRIDGE FINANCIAL GROUP LLC | CALIFORNIA RETIREMENT ADVISORS GROUP | CADUCEUS CONSULTING ENTERPRISES, LLC | CADUCEUS CONSULTING ALLIANCE PARTNER | CADUCEUS CONSULTING | BYERLY WEALTH MANAGEMENT | BURGDORF & ASSOCIATES WEALTH MANAGERS, INC. | BULL CHIP | BSB FINANCIAL SERVICES | BRUNETTE AND ASSOCIATES, LLC | BRUNETTE & ASSOCIATES | BROOKS INVESTMENT GROUP | BROOKS FINANCIAL SERVICES | BRENTMARK SOFTWARE INC | BRADY-RAEBER EQUITY FINANCIAL SERVICES | BRADFORD WEALTH MANAGEMENT, LLC | BOLTON CAPITAL MANAGEMENT, INC. | BOGGS AND ASSOCIATES WEALTH ADVISORS | BOGGS & BENTON WEALTH ADVISORS | BOGGS & BENTON | BLUE SKY FINANCIAL GROUP | BLOOMFIELD HILLS FINANCIAL | BISHOP FINANCIAL ADVISORS | BIERMAIER FINANCIAL MANAGEMENT | BIAGINI GRASSI ADVISORY GROUP, LLC | BHMR FINANCIAL SERVICES, INC. | BH WEALTH MANAGEMENT LLC | BERMAN FINANCIAL SERVICES | BERKELEY WEALTH PROFESSIONALS, PLLC | BENSON FINANCIAL SERVICES, INC. | BENNAJI GROUP | BELANGER AND ASSOCIATES, INC. | BAY CLIADAKIS & ASSOCIATES | BAY AREA RETIREMENT SOLUTIONS | BAUGHMAN WEALTH ADVISORS, INC | BAUGHMAN FINANCIAL GROUP | BAKER & COMPANY ADVISORY GROUP, INC. | BAHARY FINANCIAL GROUP | BAAM SECURITIES AND WEALTH MANAGEMENT, LLC | AXIS WEALTH PLANNING, LLC | AW WEALTH ADVISORY | AVISO WEALTH MANAGEMENT | AVISO FINANCIAL, LLC | AUBERT INSURANCE AGENCY | ATLAS METALS | ASSET PLANNING STRATEGIES LLC | ASSET PLANNING CONSULTANTS, INC. | ASSET ADVISORY SERVICES | ASCENT FINANCIAL GROUP, LLC | ART OF LEADERSHIP | ARMSTRONG & ASSOCIATES | ARCHE WEALTH MANAGEMENT | APPLIED FINANCIAL MANAGEMENT, LLC | APPLE INVESTMENT MANAGEMENT, LLC | APEX WEALTH MANAGEMENT | ANNUITY ADVISORS | ANIMAS CAPITAL MANAGEMENT | ANDERSON THORNTON FINANCIAL LLC | ANDERSON THORNTON | ANCHOR POINT WEALTH MANAGEMENT | ANALYTIC WEALTH STRATEGIES | AMWELL RIDGE WEALTH MANAGEMENT | AMERIFIRST FINANCIAL ASSOCIATES | AMERICAN RETIREMENT SOLUTIONS | AMERICAN FINANCIAL MARKETING | AMERICAN CONSUMER FINANCIAL NETWORK | AMERICA'S WEALTH MANAGEMENT SHOW | AMERICA'S FIRST FINANCIAL CORP | ALTUM WEALTH ADVISORS | ALLMAN CONSULTING, LLC | ALLIES 21, LLC | ALLIANCE WEALTH MANAGEMENT | ALEXANDER FINANCIAL SERVICES, INC. | ALESSANDRA CAPITAL MANAGEMENT LLC | ALDRIDGE FINANCIAL LLC | ALBURNS FINANCIAL SERVICES, INC. | AIM REINVESTMENTS, LLC | AIM GROUP | AGNONE AND ASSOCIATES FINANCIAL SERVICES | AGNONE & ASSOCIATES, LLC | AFG WEALTH MANAGEMENT | ADVANCED WEALTH STRATEGIES LLC | ADVANCED WEALTH STRATEGIES GROUP | ADVANCED WEALTH STRATEGIES | ADVANCED WEALTH PLANNING | ADVANCED WEALTH MANAGEMENT SOLUTIONS | ADVANCED WEALTH MANAGEMENT | ADVANCED LEGACY STRATEGIES | ADVANCED FINANCIAL SERVICES | ADVANCED EQUITIES ASSET MANAGEMENT | ADVANCED EQUITIES ADVISORY SERVICES, INC. | ADVANCED CORPORATE PLANNING | ADVANCED CAPITAL MANAGEMENT | ADAMS FINANCIAL SERVICES, PA | ACM FINANCIAL SERVICES, INC. | ACCARDI FINANCIAL GROUP, INC. OF BOSTON | ACCARDI FINANCIAL GROUP, INC. | ACCARDI FINANCIAL GROUP OF THE PALM BEACHES | ABUNDANT LIFE INVESTMENTS | ABSOLUTE WEALTH ADVISORS, INC | A-1 FINANCIAL | 401(K) ALLIANCE | 1ST CRESCENT WEALTH MANAGEMENT...
CRD#: 137888 / SEC#: 801-66653
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Contact information
Main Address
655 W. Broadway 12th Floor, San Diego, CA 92101
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees
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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