Neal D. Dingmann
Professional summary
Neal David Dingmann, who also goes by Neal Dinghman, is a registered financial professional currently at WILLIAM BLAIR located in Chicago, Illinois.
Neal is registered as a RR (Registered Representative) and started their career in finance in 1999. Neal has worked at 10 firms and has passed the Series 63, Series 52TO, SIE, Series 86, Series 87, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neal David Dingmann's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2025 - Present
WILLIAM BLAIR
Office #1: The William Blair Building 150 North Riverside, Chicago, IL 60606November 18, 2010 - April 28, 2025
TRUIST SECURITIES, INC.
January 2, 2009 - November 12, 2010
B. RILEY WEALTH MANAGEMENT
January 16, 2007 - December 23, 2008
COWEN SECURITIES LLC
March 6, 2006 - December 18, 2006
PRITCHARD CAPITAL PARTNERS, LLC
May 4, 2004 - June 8, 2006
M. S. HOWELLS & CO.
June 25, 2002 - May 7, 2004
BANC OF AMERICA SECURITIES LLC
September 22, 2000 - May 30, 2002
RBC CAPITAL MARKETS, LLC
November 19, 1999 - February 17, 2000
IDS LIFE INSURANCE COMPANY
November 19, 1999 - April 17, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
WILLIAM BLAIR
CRD#: 1252 / SEC#: 801-688, 8-2698
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/22/2025)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
NYSE American LLC
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WILLIAM BLAIR
CRD#: 1252 / SEC#: 801-688, 8-2698
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WBC HOLDINGS, L.P. | HOLDING COMPANY | |
| CITARDI, CISSIE | EXECUTIVE COMMITTEE, GENERAL COUNSEL | 6642613 |
| DEVORE, RYAN JACOB | EXECUTIVE COMMITTEE | 3049671 |
| DUWA, ROBERT J | EXECUTIVE COMMITTEE | 2931296 |
| GLEDHILL, BRENT WALKER | PRESIDENT, CEO | 2921069 |
| MCLAUGHLIN, SCOTT THOMAS | EXECUTIVE COMMITTEE | 2481285 |
| QUINN, MICHAEL PATRICK | EXECUTIVE COMMITTEE | 3257072 |
| RASAVONGXAY, WILLSON B | CHIEF COMPLIANCE OFFICER | 6593731 |
| SATTERFIELD, BETH A | EXECUTIVE COMMITTEE | 6011858 |
| TOLE, STEVEN ROBERT | EXECUTIVE COMMITTEE | 5885283 |
| TRIMBERGER, MICHAEL WILLIAM | CFO | 5329834 |
| ZIMMER, MATTHEW MONTGOMERY | EXECUTIVE COMMITTEE | 4157826 |
Regulatory assets under management
| Total Number of Accounts | 37,973 |
| AUM (Assets Under Management) | $ 58,329,726,421 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
| Bond | 1 |
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.
