John Wilson Neal
Professional Summary
John Wilson Neal is a registered financial advisor currently at PTI SECURITIES & FUTURES L. P. located in Chicago, Illinois. John is registered as a RR (Registered Representative) and started their career in finance in 1999. John has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
PTI SECURITIES & FUTURES L. P. | TPHCO | PTI SECURITIES L.P. | PTI SECURITIES & FUTURES L.P.
Contact Information
Main Address
411 S Wells Suite 900, Chicago, IL 60607Mailing Address
411 S Wells Suite 900, Chicago, IL 60607Phone Number
(312) 663-3056Established
Illinois since 12/11/1991Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (27 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAUGH INC,. | GENERAL PARTNER | — |
| NKH CORPORATION | LIMITED PARTNER | — |
| DYER, JOHN ROBERT | LIMITED PARTNER | — |
| SHAPIRO, MELVIN | LIMITED PARTNER | — |
| SPITALNY, ROBIN | LIMITED PARTNER | 1267339 |
| HAUGH, DANIEL JOHN | CHIEF COMPLIANCE OFFICER, FINOP, EXECUTIVE REPRESENTATIVE, AMLCO, ROSFP | 2162854 |
| HAUGH, THOMAS PATRICK | CEO - EXECUTIVE OFFICER | — |
| NAJARIAN, JON ARTHUR | LIMITED PARTNER | — |
Disclosures
Regulatory Event
4Arbitration
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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.
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State Registrations and Notice Filings
(5/24/2004)
(3/2/2007)
(10/5/2004)
(3/7/2012)
(5/21/2004)
(5/24/2004)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Wilson Neal's CRS (Customer Relationship Summary).
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