Neil D. Pecker
Professional summary
Neil David Pecker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Neil is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Neil had worked at 9 firms, which includes REALTA EQUITIES INC., WESTPARK CAPITAL INC., NEWPORT COAST SECURITIES INC., FIRST MIDWEST SECURITIES INC., INVESTORS CAPITAL CORP., SECURITIES AMERICA INC., BROOKSTREET SECURITIES CORPORATION, GUNNALLEN FINANCIAL INC, CONTINENTAL BROKER-DEALER CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2015 - November 25, 2015
REALTA EQUITIES, INC.
August 29, 2013 - December 3, 2013
WESTPARK CAPITAL, INC.
February 2, 2011 - September 2, 2011
NEWPORT COAST SECURITIES, INC.
November 13, 2008 - March 20, 2009
FIRST MIDWEST SECURITIES, INC.
March 12, 2008 - December 12, 2008
INVESTORS CAPITAL CORP.
July 5, 2007 - March 14, 2008
SECURITIES AMERICA, INC.
September 20, 2006 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
October 30, 2003 - September 19, 2006
GUNNALLEN FINANCIAL, INC
July 18, 2003 - November 26, 2003
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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