Neal A. Sobol
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.
Neal A. Sobol, who also goes by Neal A Sobol, Neal Sobol, was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1996. Neal had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
December 13, 2019 - November 6, 2020
CHARLES TOWNE SECURITIES, LLC
October 17, 2007 - December 31, 2016
GE CAPITAL MARKETS, INC.
October 18, 2006 - December 17, 2007
NATIXIS SECURITIES NORTH AMERICA INC.
November 30, 2004 - September 19, 2006
SG AMERICAS SECURITIES, LLC
March 3, 1999 - July 30, 2004
COWEN AND COMPANY
November 3, 1997 - January 14, 1999
CIBC WORLD MARKETS CORP.
May 1, 1996 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
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
CHARLES TOWNE SECURITIES, LLC
CRD#: 172278 / SEC#: , 8-69505
Contact information
FINRA licenses (8 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
