Michael D. Neft
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.
Michael Daniel Neft, who also goes by Michael D Neft, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1972. Michael had worked at 13 firms and has passed the Series 65, Series 63, Series 5, Series 15, Series 1, Series 000, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2017 - February 2, 2026
DUKE AND DUKE WEALTH MANAGEMENT LLC
April 11, 2016 - August 3, 2017
BROOKSTONE WEALTH ADVISORS, LLC
June 23, 2014 - April 8, 2016
SRS WEALTH MANAGEMENT, LLC
September 19, 2012 - February 26, 2013
LPL FINANCIAL LLC
September 18, 2012 - February 26, 2013
LPL FINANCIAL LLC
May 14, 2012 - September 18, 2012
CETERA WEALTH SERVICES, LLC
April 20, 2012 - September 18, 2012
CETERA WEALTH SERVICES, LLC
July 29, 2005 - December 16, 2010
OPPENHEIMER & CO. INC.
August 2, 2004 - December 16, 2010
OPPENHEIMER & CO. INC.
January 7, 1998 - August 30, 2004
JANNEY MONTGOMERY SCOTT LLC
September 16, 1993 - July 25, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - September 17, 1993
CITIGROUP GLOBAL MARKETS INC.
September 24, 1984 - July 31, 1993
LEHMAN BROTHERS INC.
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
August 23, 1972 - February 27, 1976
BACHE & CO., INCORPORATED
May 20, 1972 - October 12, 1984
PRUDENTIAL EQUITY GROUP, 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 5
Date: 2/28/1986
Interest Rate Options ExaminationSeries 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 1
Date: 8/21/1972
Registered Representative ExaminationSeries 000
Date: 5/20/1972
General Securities Principal ExaminationSeries 12
Date: 6/19/1977
NYSE Branch Manager ExaminationSeries 40
Date: 6/17/1976
Registered Principal ExaminationCurrent Firm
DUKE AND DUKE WEALTH MANAGEMENT LLC
CRD#: 290184 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 208 |
| AUM (Assets Under Management) | $ 45,407,682 |
Red Flags
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