Neil O. Dorrel
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 Oliver Dorrel was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 2001. Neil had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2018 - December 13, 2018
STRATEGY ASSET MANAGERS L.L.C.
February 27, 2018 - December 13, 2018
HOLLY STREET WEALTH ADVISORS
May 11, 2017 - December 4, 2017
HATTERAS CAPITAL DISTRIBUTORS, LLC
December 7, 2016 - June 29, 2017
AURORA CAPITAL LLC
August 18, 2014 - September 15, 2014
ALPS DISTRIBUTORS, INC.
April 25, 2005 - March 25, 2008
CITIGROUP GLOBAL MARKETS INC.
April 25, 2005 - March 25, 2008
CITIGROUP GLOBAL MARKETS INC.
February 14, 2003 - August 10, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 14, 2003 - August 10, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 13, 2002 - February 27, 2003
MORGAN STANLEY DW INC.
August 15, 2001 - February 27, 2003
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
STRATEGY ASSET MANAGERS L.L.C.
CRD#: 109939 / SEC#: 801-60049
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
STRATEGY ASSET MANAGERS L.L.C.
CRD#: 109939 / SEC#: 801-60049
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,099 |
| AUM (Assets Under Management) | $ 741,546,605 |
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.
