Val J. Neuenswander
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.
Val Joseph Neuenswander was a registered financial professional .
Val is a previously registered financial professional and started their career in finance in 1982. Val had worked at 8 firms and has passed the Series 65, Series 63 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 11, 2006 - March 31, 2008
INSPHERE SECURITIES, INC.
August 5, 2003 - December 31, 2012
CETERA WEALTH SERVICES, LLC
February 11, 2003 - October 7, 2003
WALNUT STREET SECURITIES, INC.
September 27, 1993 - September 28, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 27, 1993 - February 3, 2003
CUNA BROKERAGE SERVICES, INC.
April 2, 1992 - September 28, 1993
SIGNATOR INVESTORS, INC.
January 28, 1991 - January 22, 1992
GREEN HILL FINANCIAL SERVICE CORPORATION
November 4, 1982 - December 4, 1990
NYLIFE SECURITIES 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: 3/5/1971
Registered Representative ExaminationCurrent Firm
INSPHERE SECURITIES, INC.
CRD#: 136433 / SEC#: , 8-67011
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPHERE INSURANCE SOLUTIONS, INC. | SHAREHOLDER | |
| FUNKE, CHARLES FREDERICK II | DIRECTOR/PRESIDENT/CEO | 2574335 |
| MASON, JAMES CHRISTOPHER | DIRECTOR/ CHAIRMAN | 3008152 |
| MAUGHAN, MICHAEL PHILIP | FINOP/DIRECTOR/ VICE PRESIDENT | 4771751 |
| SERNETT, GREGORY CHARLES | CHIEF COMPLIANCE OFFICER/DIRECTOR | 2580939 |
| WEINLE, SHARON KAY | CHIEF OPERATIONS OFFICER/ DIRECTOR | 1207462 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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