Richard A. Neaton
Professional summary
Richard Anthony Neaton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Richard had worked at 4 firms, which includes MUTUAL SERVICE CORPORATION, SECURIAN FINANCIAL SERVICES INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2006 - May 21, 2008
MUTUAL SERVICE CORPORATION
April 28, 2006 - May 21, 2008
MUTUAL SERVICE CORPORATION
January 2, 1996 - April 28, 2006
SECURIAN FINANCIAL SERVICES, INC.
October 31, 1995 - April 28, 2006
SECURIAN FINANCIAL SERVICES, INC.
March 8, 1995 - November 15, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 8, 1995 - November 15, 1995
EQUITABLE ADVISORS, LLC
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
Series 62
Date: 8/25/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
Red Flags
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