MN
Michael J. Neary
HARRIS ASSOCIATES SECURITIES L.P.
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2297332
MN
Professional summary
Michael Joseph Neary, CFP® is a registered financial professional currently at HARRIS ASSOCIATES SECURITIES L.P. located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
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) - BD
Click below to view Michael Joseph Neary's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
September 26, 1995 - Present
HARRIS ASSOCIATES SECURITIES L.P.
Office #1: 111 S. Wacker Drive Suite 4600, Chicago, IL 60606Office #2: 111 S. Wacker Drive Suite 4600, Chicago, IL 60606BD
CRD#: 6959
Chicago, IL
Past
August 19, 1994 - April 16, 1996
INVESTMENT NETWORK, INC.
BD
CRD#: 7685
FRANKLIN PARK, IL
Past
April 27, 1993 - June 7, 1993
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
March 18, 1993 - July 15, 1993
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, MA
Past
November 27, 1992 - December 16, 1992
TAMARON INVESTMENTS, INC.
BD
CRD#: 14929
ENGLEWOOD, CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/24/2002)
RR
Alaska(7/24/2002)
RR
Arizona(7/24/2002)
RR
Arkansas(7/24/2002)
RR
California(7/24/2002)
RR
Colorado(7/24/2002)
RR
Connecticut(7/24/2002)
RR
Delaware(7/24/2002)
RR
District of Columbia(7/24/2002)
RR
Florida(7/24/2002)
RR
Georgia(7/24/2002)
RR
Hawaii(7/24/2002)
RR
Idaho(7/24/2002)
RR
Illinois(9/26/1995)
RR
Indiana(7/24/2002)
RR
Iowa(7/24/2002)
RR
Kansas(7/24/2002)
RR
Kentucky(7/24/2002)
RR
Louisiana(7/24/2002)
RR
Maine(7/25/2002)
RR
Maryland(7/24/2002)
RR
Massachusetts(7/25/2002)
RR
Michigan(7/24/2002)
RR
Minnesota(7/24/2002)
RR
Mississippi(7/24/2002)
RR
Missouri(7/24/2002)
RR
Montana(7/24/2002)
RR
Nebraska(7/24/2002)
RR
Nevada(7/24/2002)
RR
New Hampshire(7/24/2002)
RR
New Jersey(7/24/2002)
RR
New Mexico(7/24/2002)
RR
New York(7/24/2002)
RR
North Carolina(7/24/2002)
RR
North Dakota(7/24/2002)
RR
Ohio(7/25/2002)
RR
Oklahoma(7/24/2002)
RR
Oregon(7/24/2002)
RR
Pennsylvania(7/24/2002)
RR
Puerto Rico(7/24/2002)
RR
Rhode Island(7/24/2002)
RR
South Carolina(7/24/2002)
RR
South Dakota(7/24/2002)
RR
Tennessee(7/24/2002)
RR
Texas(7/24/2002)
RR
Utah(7/24/2002)
RR
Vermont(7/24/2002)
RR
Virgin Islands(6/21/2005)
RR
Virginia(7/24/2002)
RR
Washington(7/24/2002)
RR
West Virginia(7/24/2002)
RR
Wisconsin(7/24/2002)
RR
Wyoming(7/24/2002)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HA
HARRIS ASSOCIATES SECURITIES L.P.
HARRIS ASSOCIATES SECURITIES L.P. | HARRIS ASSOCIATES, INC.
CRD#: 6959 / SEC#: , 8-19988
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
111 S. Wacker Drive Suite 4600, Chicago, IL 60606
Mailing Address
111 S. Wacker Drive Suite 4600, Chicago, IL 60606
Phone number
(312) 646-3600
Established
Delaware since 12/12/1986
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS ASSOCIATES L.P. | LIMITED PARTNER | |
| HARRIS ASSOCIATES INC. | GENERAL PARTNER | |
| KELLER, CHRISTOPHER WOLFGANG | PRESIDENT | 2865184 |
| PIETRAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 4278774 |
| WEBER, ZACHARY DAVID | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5483343 |
| WRIGHT, RANA JEWEL | CHIEF LEGAL AND ADMINISTRATIVE OFFICER | 6357277 |
Disclosures
| Regulatory Event | 2 |
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.
