Robert Neary
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.
Robert Neary, who also goes by Bob Neary, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2009 - February 19, 2013
AMEGY INVESTMENTS, INC.
January 14, 2009 - February 19, 2013
AMEGY INVESTMENTS, INC.
January 17, 2008 - January 6, 2009
ZIONS CAPITAL ADVISORS, INC.
January 31, 2006 - May 2, 2012
ZIONS DIRECT, INC.
January 9, 2004 - December 31, 2006
AMEGY INVESTMENTS, INC.
May 13, 2003 - December 31, 2006
AMEGY INVESTMENTS, INC.
September 14, 1998 - May 15, 2003
FISERV INVESTOR SERVICES, INC.
October 14, 1997 - September 14, 1998
MOMENTUM INDEPENDENT NETWORK INC.
August 16, 1994 - August 4, 1997
PRINCIPAL FINANCIAL 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
AMEGY INVESTMENTS, INC.
CRD#: 120145 / SEC#: 801-61121, 8-65399
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZB, N.A. | OWNER | |
| CHAPA, SCOTT EDWARD | DIRECTOR / SENIOR VICE PRESIDENT | 4309262 |
| DILLARD, KAREN | ASSISTANT SECRETARY | |
| KNELL, TERRY LYNN | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER - BROKER DEALER & INVESTMENT ADVISORY SERVICES | 1733584 |
| NEWMAN, VALERIE LAYNE | VICE PRESIDENT | 2763957 |
| OUYANG, JANE JIA | DIRECTOR/SVP/CHIEF OPERATIONS OFFICER/CFO/FINOP | 1817244 |
| PAUL, ROSALIE JANISE | ASST. VICE PRESIDENT, COMPLIANCE OFFICER - INSURANCE ACTIVITIES | 2217903 |
| SHELTON, ROBERT ANDREWS | DIRECTOR / SENIOR VICE PRESIDENT | 2561167 |
| TAYLOR, LINCOLN EARL | PRESIDENT & DIRECTOR | 5011548 |
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.
