Neal A. Desai
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.
Neal Anil Desai, who also goes by Neal Desai, was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 2003. Neal had worked at 3 firms and has passed the Series 63, Series 56, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2014 - October 7, 2015
SUMMIT SECURITIES GROUP LLC
April 3, 2013 - August 15, 2013
SUMMIT SECURITIES GROUP LLC
June 17, 2011 - March 14, 2013
HARD EIGHT TRADING, LLC
July 23, 2004 - March 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 2003 - March 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 56
Date: 12/8/2011
Proprietary Trader Qualification ExaminationCurrent Firm
SUMMIT SECURITIES GROUP LLC
CRD#: 159283 / SEC#: , 8-68977
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
Red Flags
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