Neal F. Hoops
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 Franklin Hoops, who also goes by Neal Hoops, was a registered financial advisor .
Neal is a previously registered financial advisor and started their career in finance in 2004. Neal had worked at 6 firms and has passed the Series 66 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
January 10, 2014 - April 24, 2014
UNITED BROKERAGE SERVICES, INC
December 20, 2013 - April 24, 2014
UNITED BROKERAGE SERVICES, INC
June 3, 2011 - October 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2011 - October 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 2008 - May 31, 2011
WESBANCO SECURITIES, INC.
October 1, 2008 - May 31, 2011
WESBANCO SECURITIES, INC.
June 30, 2006 - September 30, 2008
THE HUNTINGTON INVESTMENT COMPANY
June 30, 2006 - September 30, 2008
THE HUNTINGTON INVESTMENT COMPANY
January 3, 2006 - June 14, 2006
KEY INVESTMENT SERVICES LLC
January 3, 2006 - June 14, 2006
KEY INVESTMENT SERVICES LLC
August 30, 2004 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
August 30, 2004 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
May 17, 2004 - August 17, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 2004 - August 17, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
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
UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
Contact information
SEC notice filing (17 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED ASSET MANAGEMENT CORP. | OWNER | |
| ADAMS, RICHARD MATTHEW JR | CHAIRMAN OF THE BOARD/DIRECTOR | 2656091 |
| BOARD, ANGIE MARIE | FINOP | 6464533 |
| EARL, MICHEAL LEN | CHIEF COMPLIANCE OFFICER | 4266715 |
| GURTIS, JULIE RITCHIE | DIRECTOR | |
| HUMPHREY, MATTHEW LEE | CHIEF EXECUTIVE OFFICER/DIRECTOR | 5943475 |
| MOCK, DONALD FREDERICK | DIRECTOR | 5059205 |
| MUDLAFF, THOMAS JAMES | CHIEF OPERATIONS OFFICER | 2359466 |
| REYNOLDS, FRANK KEVIN | DIRECTOR | 5731814 |
| SHAVER, AMI LEE | DIRECTOR | 2771684 |
Regulatory assets under management
| Total Number of Accounts | 1,889 |
| AUM (Assets Under Management) | $ 389,130,559 |
Disclosures
| Bond | 1 |
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.
