Neil M. Sterba

AMG DISTRIBUTORS

Stamford, CT 06901

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CRD#: 2457846

Professional summary

Neil Matthew Sterba is a registered financial professional currently at AMG DISTRIBUTORS, INC. located in Stamford, Connecticut.

Neil is registered as a RR (Registered Representative) and started their career in finance in 1994. Neil has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neil Matthew Sterba's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 21, 2013 - Present

AMG DISTRIBUTORS, INC.

Office #1: 680 Washington Blvd Suite 500, Stamford, CT 06901

CRD#: 27314

Stamford, CT

Past

October 11, 2005 - January 2, 2013

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

March 18, 2004 - September 16, 2005

VICTORY CAPITAL MANAGEMENT INC.

RIA

CRD#: 106189

CLEVELAND, OH

Past

January 2, 2004 - August 31, 2005

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

BROOKLYN, OH

Past

January 15, 2003 - December 31, 2003

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

January 10, 2003 - January 16, 2003

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

February 11, 1999 - December 31, 2002

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

August 7, 1996 - January 19, 1999

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

March 16, 1994 - August 9, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(2/21/2013)

Indiana
(2/21/2013)

Kentucky
(1/8/2015)

Ohio
(2/22/2013)

Pennsylvania
(1/27/2014)

Tennessee
(1/2/2020)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/16/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/8/1994

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/15/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

AMG DISTRIBUTORS, INC.

CRD#: 27314 / SEC#: , 8-43057

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

680 Washington Blvd Suite 500, Stamford, CT 06901

Mailing Address

680 Washington Blvd Suite 500, Stamford, CT 06901

Phone number

(203) 299-3500

Established

Delaware since 12/29/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
AMG FUNDS LLC	SOLE SHAREHOLDER	153456
GALIS, AARON	DIRECTOR	7333959
HOPKINS, THOMAS JOHN	PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER AND FINOP	1835087
JACOBS ANTONACCIO, RACHEL ELIZABETH	HEAD OF CLIENT SOLUTIONS AND PRINCIPAL	3189490
KINNE, KEITHA LEE	PRESIDENT, PRINCIPAL AND CHIEF OPERATING OFFICER	2039630
SPELLMAN, PATRICK JOSEPH	CHIEF COMPLIANCE OFFICER	3086822

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Neil M. Sterba

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neil Matthew Sterba's CRS (Customer Relationship Summary).

Certified licenses

Experience

DWS DISTRIBUTORS, INC.

VICTORY CAPITAL MANAGEMENT INC.

VICTORY CAPITAL SERVICES, INC.

KEYBANC CAPITAL MARKETS INC.

FORESIDE DISTRIBUTION SERVICES, L.P.

FORESIDE DISTRIBUTION SERVICES, L.P.

KEYBANC CAPITAL MARKETS INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/16/2002

Series 63

Date: 3/23/1994

SIE

Date: 10/1/2018

Series 31

Date: 4/8/1994

Series 7

Date: 3/15/1994

FINRA

Current Firm

AMG DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AMG DISTRIBUTORS, INC.

TRUST BUT VERIFY

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