Curtis W. 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.
Curtis Winston Neuman was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1993. Curtis had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, Series 99TO, SIE, Series 7, Series 6 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
December 10, 2021 - March 31, 2025
REDWOOD PRIVATE WEALTH
July 1, 2020 - December 8, 2021
MML INVESTORS SERVICES, LLC
June 30, 2020 - December 8, 2021
MML INVESTORS SERVICES, LLC
July 7, 2015 - July 6, 2020
RESEARCH FINANCIAL STRATEGIES
June 18, 2015 - June 30, 2020
PURSHE KAPLAN STERLING INVESTMENTS
January 27, 2014 - June 5, 2015
USA FINANCIAL SECURITIES LLC
January 9, 2014 - June 5, 2015
USA FINANCIAL SECURITIES LLC
March 25, 2002 - January 8, 2014
FINANCIAL SECURITY ADVISORS INC.
January 24, 2002 - December 31, 2013
LPL FINANCIAL LLC
January 23, 2002 - December 31, 2013
LPL FINANCIAL LLC
July 13, 2001 - January 24, 2002
ALLSTATE FINANCIAL SERVICES, LLC
December 20, 1999 - July 24, 2001
SUMMIT BROKERAGE SERVICES, INC.
June 1, 1996 - December 15, 1999
WALNUT STREET SECURITIES, INC.
March 31, 1995 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
September 30, 1993 - March 16, 1995
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/1/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/1/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 3/1/2024
Operations Professional ExaminationCurrent Firm
REDWOOD PRIVATE WEALTH
CRD#: 312942 / SEC#: 801-120723
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,788 |
| AUM (Assets Under Management) | $ 267,560,801 |
Red Flags
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