ND
Neil R. Doolan
CANTOR FITZGERALD & CO.
New York, NY 10022
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CRD#: 3258880
ND
Professional summary
Neil Robert Doolan, who also goes by Neil R Doolan, Neil Robert Doolan, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.
Neil is registered as a RR (Registered Representative) and started their career in finance in 1999. Neil has worked at 7 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Neil R Doolan | Neil Robert Doolan
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.
CRS (Client Relationship Summary) - BD
Click below to view Neil Robert Doolan's 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®
NoneExperience
Current
June 4, 2018 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 5th Floor Dcm, New York, NY 10022Office #2: 47 Maple Street Atrium 2nd Floor, Summit, NJ 07901BD
CRD#: 134
New York, NY
Past
April 30, 2008 - July 3, 2018
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
April 4, 2006 - October 10, 2007
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
May 19, 2004 - March 22, 2006
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
October 1, 2000 - June 5, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 22, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
September 16, 1999 - January 10, 2000
HENNION & WALSH, INC.
BD
CRD#: 25766
PARSIPPANY, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(6/22/2023)
RR
Arizona(6/22/2023)
RR
Arkansas(6/22/2023)
RR
California(2/21/2019)
RR
Colorado(6/22/2023)
RR
Connecticut(6/4/2018)
RR
Delaware(7/24/2023)
RR
District of Columbia(6/4/2018)
RR
Florida(6/4/2018)
RR
Georgia(5/20/2021)
RR
Illinois(7/24/2023)
RR
Iowa(7/24/2023)
RR
Kansas(7/24/2023)
RR
Maryland(4/14/2021)
RR
Massachusetts(6/4/2018)
RR
Michigan(11/21/2019)
RR
Minnesota(7/24/2023)
RR
Missouri(7/24/2023)
RR
Nevada(6/22/2023)
RR
New Hampshire(7/24/2023)
RR
New Jersey(6/4/2018)
RR
New Mexico(6/22/2023)
RR
New York(6/4/2018)
RR
North Carolina(4/9/2020)
RR
North Dakota(7/24/2023)
RR
Ohio(6/22/2023)
RR
Oklahoma(7/24/2023)
RR
Pennsylvania(5/20/2021)
RR
Rhode Island(7/24/2023)
RR
Tennessee(7/24/2023)
RR
Texas(5/27/2021)
RR
Utah(6/22/2023)
RR
Virginia(6/4/2018)
RR
Washington(4/14/2021)
RR
Wisconsin(6/22/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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.
