Jeffrey A. Neikirk
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.
Jeffrey Alden Neikirk was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1993. Jeffrey had worked at 7 firms and has passed the Series 63, SIE, Series 79, 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
June 15, 2017 - March 8, 2022
CITIZENS CAPITAL MARKETS
March 24, 2014 - January 4, 2017
TRUIST SECURITIES, INC.
June 23, 2009 - January 27, 2010
NATWEST MARKETS SECURITIES INC.
October 7, 2005 - April 17, 2008
CITIGROUP GLOBAL MARKETS INC.
October 23, 2002 - November 4, 2003
KEYBANC CAPITAL MARKETS INC.
August 4, 1993 - June 26, 2002
BANC OF AMERICA SECURITIES LLC
February 1, 1993 - August 4, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CITIZENS CAPITAL MARKETS
CRD#: 277073 / SEC#: , 8-69651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIZENS FINANCIAL GROUP, INC. | SHAREHOLDER | |
| HORN, WILLIAM CANNIFF III | POO | 2234778 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| KOSINSKI, THOMAS JAMES | FINOP, PFO | 6712417 |
| MCCREE, DONALD H III | CHAIRMAN | 2316064 |
| MCLAUGHLIN, BRENDAN M. | CHIEF COMPLIANCE OFFICER | 2562815 |
| SWIMMER, THEODORE C | CHIEF EXECUTIVE OFFICER | 2661662 |
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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