Neal Atkins
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 Atkins was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1998. Neal had worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 4, Series 24 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2005 - May 30, 2019
ALLY INVEST SECURITIES LLC
October 20, 2004 - September 13, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 19, 2001 - October 20, 2004
QUICK & REILLY, INC.
December 14, 1998 - April 5, 2001
SURETRADE INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
