Charles B. Neustein
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.
Charles Benjamin Neustein, who also goes by Charles Benjamin Neustein Mr., was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 12 firms and has passed the Series 55, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2010 - October 31, 2013
ALPHASOURCE CAPITAL SECURITIES LLC
February 9, 2006 - December 22, 2009
FCG ADVISORS, LLC
November 16, 2004 - May 12, 2005
MENTOR SECURITIES, INC.
April 14, 2003 - November 5, 2004
EKN FINANCIAL SERVICES INC.
January 28, 2002 - April 23, 2003
LADENBURG THALMANN & CO. INC.
March 29, 1996 - December 31, 2001
HERZOG, HEINE, GEDULD, LLC
December 20, 1990 - January 27, 1995
HERZOG, HEINE, GEDULD, LLC
May 15, 1989 - November 23, 1990
DEUTSCHE IXE, LLC
October 21, 1981 - April 6, 1989
SALOMON BROTHERS INC.
December 6, 1974 - September 30, 1981
MABON, NUGENT & CO.
October 17, 1972 - December 30, 1974
JSC SECURITIES, INC.
May 12, 1971 - November 12, 1972
ROBERT FLEMING INCORPORATED
October 6, 1969 - June 26, 1971
HAYDEN STONE 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
Series 55
Date: 4/26/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 8/10/1960
Registered Representative ExaminationSeries 12
Date: 12/1/1977
NYSE Branch Manager ExaminationCurrent Firm
ALPHASOURCE CAPITAL SECURITIES LLC
CRD#: 145875 / SEC#: , 8-67759
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LECANN, NOELLE-CLAIRE | PRESIDENT, MANAGING MEMBER, GSP, CCO, FINOP | 1826421 |
Red Flags
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