Stephen P. Neri
Professional summary
Stephen Phillip Neri, who also goes by Steve Phillip Neri, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Irvine, California.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Phillip Neri's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2020 - Present
MISCHLER FINANCIAL GROUP, INC.
Office #1: 19800 Macarthur Blvd. Suite 600, Irvine, CA 92612Office #2: 19800 Macarthur Blvd. Suite 600, Irvine, CA 92612October 12, 2015 - October 14, 2020
LADENBURG THALMANN & CO. INC.
December 11, 2001 - October 15, 2015
GILFORD SECURITIES INCORPORATED
November 2, 2000 - October 24, 2001
WATERFORD FINANCIAL, 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
(10/13/2020)
(10/13/2020)
(9/1/2021)
(10/13/2020)
(10/20/2020)
(12/9/2020)
(3/11/2021)
(1/8/2021)
(7/30/2021)
(12/21/2020)
(10/13/2020)
(10/16/2020)
Exams
FINRA
Current Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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