Neal J. Kohlhaas
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 John Kohlhaas, who also goes by Neal John Kohlhaus, was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1969. Neal had worked at 21 firms and has passed the Series 63, PC, Series 5, Series 18, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 1995 - May 27, 1998
MCCLURG CAPITAL CORPORATION
March 8, 1995 - August 17, 1995
DOMINARI SECURITIES LLC
March 10, 1994 - February 24, 1995
INTERFIRST CAPITAL CORPORATION
June 23, 1993 - February 23, 1994
FAB SECURITIES OF AMERICA, INC.
January 14, 1993 - June 10, 1993
PRUDENTIAL EQUITY GROUP, LLC
December 4, 1991 - January 5, 1993
A. G. EDWARDS & SONS, INC.
September 30, 1989 - December 16, 1991
ADVEST, INC.
September 16, 1988 - September 30, 1989
NEWHARD, COOK & CO. INCORPORATED
February 1, 1988 - October 5, 1988
OBERWEIS SECURITIES, INC.
June 30, 1987 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
June 12, 1987 - June 27, 1987
FIRST AFFILIATED SECURITIES, INC.
June 2, 1987 - June 8, 1987
MCKEWON & TIMMINS
March 17, 1986 - April 24, 1987
SUTRO & CO. INCORPORATED
February 5, 1985 - February 5, 1986
JEFFERIES LLC
October 17, 1984 - February 5, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
August 5, 1983 - October 12, 1984
CRALIN & CO., INC.
January 25, 1979 - July 18, 1983
J.P. MORGAN SECURITIES LLC
March 3, 1977 - February 22, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
July 7, 1971 - June 1, 1972
DEAN WITTER & CO. INCORPORATED
April 13, 1971 - August 12, 1971
W. E. HUTTON & CO.
March 11, 1969 - April 6, 1971
SHEARSON, HAMMILL & CO., INCORPORATED
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
PC
Date: 11/30/1989
AMEX Put and Call ExamSeries 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 18
Date: 2/23/1977
Securities Industry Rules and Regulations ExaminationSeries 1
Date: 3/7/1969
Registered Representative ExaminationCurrent Firm
MCCLURG CAPITAL CORPORATION
CRD#: 16798 / SEC#: , 8-34473
Contact information
FINRA licenses (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 117 |
| AUM (Assets Under Management) | $ 83,283,986 |
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.
