Neil M. Sterba
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 Matthew Sterba was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1994. Neil had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2013 - July 9, 2026
AMG DISTRIBUTORS, INC.
October 11, 2005 - January 2, 2013
DWS DISTRIBUTORS, INC.
March 18, 2004 - September 16, 2005
VICTORY CAPITAL MANAGEMENT INC.
January 2, 2004 - August 31, 2005
VICTORY CAPITAL SERVICES, INC.
January 15, 2003 - December 31, 2003
KEYBANC CAPITAL MARKETS INC.
January 10, 2003 - January 16, 2003
FORESIDE DISTRIBUTION SERVICES, L.P.
February 11, 1999 - December 31, 2002
FORESIDE DISTRIBUTION SERVICES, L.P.
August 7, 1996 - January 19, 1999
KEYBANC CAPITAL MARKETS INC.
March 16, 1994 - August 9, 1996
MORGAN STANLEY DW 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
AMG DISTRIBUTORS, INC.
CRD#: 27314 / SEC#: , 8-43057
Contact information
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 | 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.
