Bonnie T. Neiman
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.
Bonnie Thompson Neiman, who also goes by Bonnie Lou Daugherty, Bonnie Lou Thompson, was a registered financial professional .
Bonnie is a previously registered financial professional and started their career in finance in 1994. Bonnie had worked at 2 firms and has passed the Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2001 - August 9, 2012
M.M. DILLON & CO. LLC
February 28, 1994 - December 17, 2001
STRINGER SECURITIES, INC.
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
Current Firm
M.M. DILLON & CO. LLC
CRD#: 19878 / SEC#: , 8-37893
Contact information
FINRA licenses (8 States and Territories)
Documents
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.
