Neal F. Rau
Professional summary
Neal Frederick Rau was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Neal is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Neal had worked at 6 firms, which includes GLOBAL CAPITAL SECURITIES CORPORATION, VANGUARD CAPITAL, QUESTAR CAPITAL CORPORATION, FIRST SECURITIES USA INC., EISNER SECURITIES INC., JOSEPH CHARLES & ASSOC. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2001 - October 15, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
January 11, 2000 - December 12, 2000
VANGUARD CAPITAL
September 8, 1999 - December 23, 1999
QUESTAR CAPITAL CORPORATION
August 1, 1999 - September 9, 1999
FIRST SECURITIES USA, INC.
October 26, 1998 - April 29, 1999
EISNER SECURITIES, INC.
June 10, 1997 - October 6, 1998
JOSEPH CHARLES & ASSOC., INC.
State Registrations and Notice Filings
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Exams
Current Firm
GLOBAL CAPITAL SECURITIES CORPORATION
CRD#: 16184 / SEC#: , 8-33481
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 31 |
Red Flags
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