Neil A. Evertsen
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 Arne Evertsen was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1999. Neil had worked at 9 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
October 23, 2012 - January 2, 2013
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
October 13, 2010 - October 19, 2011
AEGIS CAPITAL CORP.
October 5, 2010 - October 7, 2010
MONARCH FINANCIAL CORPORATION OF AMERICA
June 26, 2009 - October 8, 2010
WESTROCK ADVISORS, INC.
January 13, 2009 - February 19, 2009
CHASE INVESTMENT SERVICES CORP.
October 23, 2002 - January 13, 2009
MAXIM GROUP LLC
December 18, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
January 11, 2000 - December 18, 2000
GKN SECURITIES CORP.
June 21, 1999 - January 14, 2000
BISHOP, ROSEN & CO., 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
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
