Brian R. Neveau
Professional summary
Brian Ray Neveau is a registered financial professional currently at CABOT LODGE SECURITIES LLC located in Oshkosh, Wisconsin.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 4 firms and has passed the Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Ray Neveau's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 17, 2013 - Present
CABOT LODGE SECURITIES LLC
Office #1: 2337 Jackson St, Oshkosh, WI 54901February 25, 2011 - August 16, 2013
ALLIED BEACON PARTNERS, INC.
August 13, 1996 - May 20, 2011
AMERICAN BEACON PARTNERS, INC.
November 3, 1992 - August 19, 1996
SII INVESTMENTS, 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
(8/12/2013)
Exams
Series 62
Date: 7/8/1997
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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