Neale C. Musolff
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.
Neale Carvel Musolff was a registered financial professional .
Neale is a previously registered financial professional and started their career in finance in 1973. Neale had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2003 - November 15, 2016
BROADSTONE SECURITIES
June 7, 2001 - March 19, 2003
USALLIANZ SECURITIES, INC.
November 5, 1993 - July 19, 2001
WOODBURY FINANCIAL SERVICES, INC.
July 9, 1986 - January 1, 1994
CENTENNIAL FINANCIAL SERVICES, INC.
January 18, 1974 - August 1, 1977
CORNERSTONE FINANCIAL SERVICES, INC.
August 21, 1973 - June 22, 1974
HORNOR, TOWNSEND & KENT, LLC
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
Series 1
Date: 8/16/1973
Registered Representative ExaminationCurrent Firm
BROADSTONE SECURITIES
CRD#: 101600 / SEC#: , 8-52094
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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