Neil Mohinani

GUZMAN & COMPANY

NEW YORK, NY 10017

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CRD#: 4181584

Professional summary

Neil Mohinani, who also goes by Neil Mdhinani, is a registered financial professional currently at GUZMAN & COMPANY located in New York, New York.

Neil is registered as a RR (Registered Representative) and started their career in finance in 2001. Neil has worked at 8 firms and has passed the Series 63, SIE, Series 57, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Neil Mdhinani

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neil Mohinani'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®

None

Experience

Current

August 15, 2025 - Present

GUZMAN & COMPANY

Office #1: 370 Lexington Ave. Suite 1812, New York, NY 10017

CRD#: 21013

NEW YORK, NY

Past

October 19, 2024 - August 5, 2025

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

November 2, 2023 - September 27, 2024

ENCLAVE CAPITAL LLC

CRD#: 22732

BOCA RATON, FL

Past

August 17, 2020 - September 19, 2022

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081

NEW YORK, NY

Past

May 2, 2014 - December 3, 2019

ENCLAVE CAPITAL LLC

CRD#: 22732

NEW YORK, NY

Past

July 28, 2011 - November 7, 2011

HOLD BROTHERS CAPITAL LLC

CRD#: 151864

NEW YORK, NY

Past

September 13, 2006 - October 7, 2009

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

NEW YORK, NY

Past

May 10, 2004 - June 10, 2005

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

April 10, 2001 - November 4, 2002

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Florida
(8/15/2025)

New York
(8/15/2025)

Exams

State Security Law Exam

Series 63

Date: 6/29/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 10/24/2016

Securities Trader Exam

General Industry/Product Exam

Series 55

Date: 7/10/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/9/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/25/2017

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

Current Firm

GUZMAN & COMPANY

CRD#: 21013 / SEC#: , 8-38646

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

101 Aragon Avenue, Coral Gables, FL 33134-5426

Mailing Address

101 Aragon Avenue, Coral Gables, FL 33134-5426

Phone number

(305) 374-3600

Established

Florida since 01/28/1987

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
GUZMAN, LEOPOLDO EUGENIO	PRESIDENT AND OWNER
BAZYLEWICZ, PETER MICHAEL	CHIEF OPERATING OFFICER	2142678
GUZMAN, SUSAN COVERT	CORPORATE SECRETARY AND DIRECTOR	1750039
MILLER, ALEXIS GUZMAN	CHIEF FINANCIAL OFFICER, POO, PFO	5014670
TORIBIO, LUIS A	CHIEF COMPLIANCE OFFICER	6248172

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Neil Mohinani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neil Mohinani's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAXIM GROUP LLC

ENCLAVE CAPITAL LLC

CABRERA CAPITAL MARKETS, LLC

ENCLAVE CAPITAL LLC

HOLD BROTHERS CAPITAL LLC

DAIWA CAPITAL MARKETS AMERICA INC.

CREDIT AGRICOLE SECURITIES (USA) INC.

ABN AMRO INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/29/2015

SIE

Date: 10/1/2018

Series 57

Date: 10/24/2016

Series 55

Date: 7/10/2007

Series 7

Date: 4/9/2001

Series 24

Date: 4/25/2017

FINRA

Investors' Exchange LLC

Current Firm

GUZMAN & COMPANY

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GUZMAN & COMPANY

TRUST BUT VERIFY

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