Neil C. Buhl
Professional summary
Neil Christian Buhl, CFP® is a registered financial professional currently at FIRST COMMAND BROKERAGE SERVICES, INC. located in Fort Worth, Texas.
Neil is registered as a RR (Registered Representative) and started their career in finance in 1993. Neil has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neil Christian Buhl's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 2022 - Present
FIRST COMMAND BROKERAGE SERVICES, INC.
Office #1: 1 Firstcomm Plaza, Fort Worth, TX 76109February 15, 2017 - June 30, 2018
HORACE MANN INVESTORS, INC.
February 7, 2017 - June 30, 2018
HORACE MANN INVESTORS, INC.
May 12, 2015 - November 10, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 1, 2007 - November 10, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 12, 2001 - December 14, 2006
EQUITABLE ADVISORS, LLC
September 21, 1999 - January 8, 2001
VANGUARD MARKETING CORPORATION
December 3, 1993 - October 21, 1999
IDS LIFE INSURANCE COMPANY
December 3, 1993 - October 21, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
FIRST COMMAND BROKERAGE SERVICES, INC.
CRD#: 3641 / SEC#: , 8-7072
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMAND FINANCIAL SERVICES, INC. | STOCKHOLDER/OWNER | |
| CADDELL, TINA KATHERINE | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 3041675 |
| CERBONE, HEIDI ELIZABETH | VICE PRESIDENT AND TREASURER | 5734664 |
| CHARTAN, ERIC | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | 4809520 |
| GRIFFIN, CASEY JAMES | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 3124214 |
| HUBKA, MEEGHAN LYNNE | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP) | 5859322 |
| RICHTER, KELLEEN MARIE | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 2098017 |
| SMITH, FRANK DEAN | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | 6005160 |
| STEFFE, MARK DUANE | PRESIDENT/CEO | 2204689 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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