Neeti G. Ciolino
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.
Neeti Gupta Ciolino, who also goes by Neeti Mohan Ciolino, Neeti Mohan Gupta, Neeti Gupta, was a registered financial professional .
Neeti is a previously registered financial professional and started their career in finance in 1994. Neeti had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2014 - January 26, 2015
PYRAMIS DISTRIBUTORS CORPORATION LLC
November 22, 2012 - September 26, 2013
FIDELITY DISTRIBUTORS COMPANY LLC
January 27, 2000 - October 18, 2002
WELLINGTON SALES CORP.
March 30, 1999 - December 14, 1999
BOFA DISTRIBUTORS, INC.
March 18, 1997 - March 26, 1999
HIMCO DISTRIBUTION SERVICES COMPANY
December 2, 1994 - March 12, 1997
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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
PYRAMIS DISTRIBUTORS CORPORATION LLC
CRD#: 146430 / SEC#: , 8-67821
Contact information
Documents
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.
