Pather L. Neff
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.
Pather Lloyd Neff, who also goes by Lloyd Jay Neff, was a registered financial professional .
Pather is a previously registered financial professional and started their career in finance in 1994. Pather had worked at 7 firms and has passed the 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
February 14, 2005 - November 1, 2005
MISSION SECURITIES CORPORATION
July 22, 2003 - November 6, 2003
LLOYD, SCOTT & VALENTI, LTD.
March 5, 2003 - September 24, 2003
J.P. TURNER & COMPANY, L.L.C.
January 24, 2000 - April 24, 2001
CENTEX SECURITIES, INCORPORATED
November 5, 1997 - January 26, 1998
GLOBAL CAPITAL MARKETS, LLC
February 15, 1995 - October 10, 1995
DICKINSON & CO.
December 20, 1994 - December 23, 1994
ROBERT TODD FINANCIAL CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MISSION SECURITIES CORPORATION
CRD#: 41779 / SEC#: , 8-49567
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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