Boris Neyman
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.
Boris Neyman, who also goes by Bob Neyman, was a registered financial professional .
Boris is a previously registered financial professional and started their career in finance in 1994. Boris had worked at 7 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 4, 2006 - December 31, 2013
INVESTORS CAPITAL CORP.
April 29, 2002 - January 10, 2006
RYAN BECK & CO.
April 16, 2001 - May 13, 2002
GRUNTAL & CO., L.L.C.
June 1, 1998 - April 26, 2001
CITIGROUP GLOBAL MARKETS INC.
March 10, 1995 - June 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 23, 1994 - February 17, 1995
RICKEL & ASSOCIATES, INC.
July 25, 1994 - December 23, 1994
SOUTH RICHMOND 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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