Neal A. Bohlman
Professional summary
Neal Albert Bohlman 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 1999. Prior to being barred, Neal had worked at 2 firms, which includes SAXONY SECURITIES INC., CLEARING SERVICES OF AMERICA INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2003 - August 10, 2004
SAXONY SECURITIES, INC.
July 21, 1999 - September 8, 2003
CLEARING SERVICES OF AMERICA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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