John W. Neal

PTI SECURITIES & FUTURES L. P.

Chicago, IL 60607

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CRD#: 3103052

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.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view John Wilson Neal's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 21, 2004 - Present

PTI SECURITIES & FUTURES L. P.

Office #1: 411 S Wells Suite 900, Chicago, IL 60607

CRD#: 29275

Chicago, IL

Past

May 2, 2007 - December 31, 2014

PTI SECURITIES & FUTURES L. P.

RIA

CRD#: 29275

Peoria, AZ

Past

April 25, 2002 - May 24, 2004

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

September 10, 1999 - April 25, 2002

GRANITE CAPITAL MANAGEMENT

CRD#: 44061

THOUSAND OAKS, CA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/24/2004)

Colorado
(3/2/2007)

Florida
(10/5/2004)

Georgia
(3/7/2012)

Indiana
(5/21/2004)

Pennsylvania
(5/24/2004)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/10/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/8/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/25/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/23/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 11/4/1998

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

PTI SECURITIES & FUTURES L. P.

PTI SECURITIES & FUTURES L. P. | TPHCO | PTI SECURITIES L.P. | PTI SECURITIES & FUTURES L.P.

CRD#: 29275 / SEC#: , 8-44412

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

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Contact information

Main Address

411 S Wells Suite 900, Chicago, IL 60607

Mailing Address

411 S Wells Suite 900, Chicago, IL 60607

Phone number

(312) 663-3056

Established

Illinois since 12/11/1991

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (27 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

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	4
Arbitration	1

Red Flags

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John W. Neal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Wilson Neal's CRS (Customer Relationship Summary).

Certified licenses

Experience

PTI SECURITIES & FUTURES L. P.

INDEPENDENT FINANCIAL GROUP, LLC

GRANITE CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/10/2006

Series 63

Date: 3/4/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/8/1999

Series 4

Date: 8/25/1999

Series 24

Date: 3/23/1999

Series 27

Date: 11/4/1998

FINRA

Current Firm

PTI SECURITIES & FUTURES L. P.

Contact information

FINRA licenses (27 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PTI SECURITIES & FUTURES L. P.

TRUST BUT VERIFY

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