Neil M. Solomon
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 Matthew Solomon, who also goes by Neil Matthew Solomon, Neil Solomon, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1996. Neil had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2020 - July 20, 2020
THE LEADERS GROUP, INC.
March 20, 2014 - June 5, 2018
SANDLER, O'NEILL & PARTNERS, L.P.
February 15, 2013 - March 19, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 30, 2010 - February 27, 2013
KEEFE, BRUYETTE & WOODS, INC.
April 30, 2002 - September 29, 2003
INCAP SECURITIES, INC.
May 30, 2001 - April 17, 2002
MESIROW FINANCIAL, INC.
March 24, 2000 - June 22, 2000
AMERICAN SECURITIES GROUP, INC.
September 11, 1996 - March 6, 2001
SUNCOAST CAPITAL GROUP, LTD.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
