Neil B. Flamer
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.
Neil Benjamin Flamer was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1994. Neil had worked at 5 firms and has passed the Series 63, 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
November 10, 2008 - June 25, 2009
FIRST MIDWEST SECURITIES, INC.
August 23, 2002 - October 24, 2008
BASIC INVESTORS INC.
April 6, 1998 - August 23, 2002
WOODSTOCK FINANCIAL GROUP, INC.
January 12, 1998 - March 17, 1998
FAIRCHILD FINANCIAL GROUP, INC.
September 9, 1994 - December 23, 1997
MONROE PARKER 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
FIRST MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
