Christopher J. Neri
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.
Christopher James Neri, who also goes by Christopher Neri, was a registered financial advisor .
Christopher is a previously registered financial advisor and started their career in finance in 2003. Christopher had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2015 - November 6, 2015
THE LEADERS GROUP, INC.
December 10, 2007 - February 2, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 20, 2007 - November 2, 2007
OSAIC FA, INC.
August 24, 2007 - November 2, 2007
OSAIC FA, INC.
November 21, 2005 - August 13, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 1, 2003 - September 20, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 1, 2003 - September 20, 2005
OSAIC FA, 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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
