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Neil J. Sivertson

Some features on this profile are disabled
CRD#: 2732535
NS

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 Jeffrey Sivertson was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 1996. Neil had worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 28, 2018 - April 15, 2020

PEAKSTONE SECURITIES, LLC

BD
CRD#: 157146
Chicago, IL
Past

December 20, 2013 - February 11, 2014

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
BARRINGTON, IL
Past

April 28, 2009 - January 3, 2012

R.W.PRESSPRICH & CO.

BD
CRD#: 26460
NEW YORK, NY
Past

October 5, 2007 - February 10, 2009

WELLINGTON WEST CAPITAL MARKETS (USA) INC.

BD
CRD#: 133617
CARY, IL
Past

August 22, 2005 - October 1, 2007

RICHARDSON GMP (USA) CORP.

BD
CRD#: 104204
CARY, IL
Past

July 24, 2001 - August 23, 2005

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

BD
CRD#: 7449
VANCOUVER,
Past

December 3, 1999 - July 23, 2001

FIRST ANALYSIS SECURITIES CORPORATION

BD
CRD#: 10446
CHICAGO, IL
Past

January 2, 1998 - December 31, 1998

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

BD
CRD#: 7449
VANCOUVER,
Past

July 16, 1997 - December 31, 1997

FIRST SECURITIES NORTHWEST, INC.

BD
CRD#: 14627
MILWAUKIE, OR
Past

May 28, 1996 - August 27, 1996

DRIEHAUS SECURITIES LLC

BD
CRD#: 8197
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/14/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/20/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/28/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 5/24/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/30/2007
General Securities Principal Examination

Current Firm

PS
PEAKSTONE SECURITIES, LLC
PEAKSTONE SECURITIES, LLC

CRD#: 157146 / SEC#: , 8-68835

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
550 West Van Buren Street Suite 1460, Chicago, IL 60607
Mailing Address
550 West Van Buren Street Suite 1460, Chicago, IL 60607
Phone number
(312) 346-7318
Established
Illinois since 02/17/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FRIDMAN, ALEXMEMBER4580424
SLEIGH, STEPHEN ROBERTCEO, MEMBER2466141
TEMPLE, JEFFREY WILLIAMMEMBER5905932
ALVAREZ, ENRIQUECFO / FINOP4622342
BROWN, EVAN MICHAELCHIEF COMPLIANCE OFFICER, AMLCO6563464

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.

Company Information

PEAKSTONE SECURITIES, LLC

CRD#: 157146

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