Neftali Mercedes
Professional summary
Neftali Mercedes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Neftali is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Neftali had worked at 5 firms, which includes JOHN THOMAS FINANCIAL, THINKEQUITY LLC, JOSEPH STEVENS & CO. INC., NATIONAL SECURITIES CORPORATION, WINDSOR STREET CAPITAL LP.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2009 - June 24, 2010
JOHN THOMAS FINANCIAL
July 16, 2007 - July 8, 2009
THINKEQUITY LLC
November 22, 2005 - August 14, 2007
JOSEPH STEVENS & CO., INC.
July 9, 2001 - November 11, 2005
NATIONAL SECURITIES CORPORATION
July 31, 2000 - July 9, 2001
WINDSOR STREET CAPITAL, LP
State Registrations and Notice Filings
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Exams
Current Firm
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
Red Flags
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