Arturo Neto
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.
Arturo Neto, CFA, CPWA®, who also goes by Arturo Neto Jr., Arturo Neto, was a registered financial professional .
Arturo is a previously registered financial professional and started their career in finance in 2005. Arturo had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 87 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
Start date: 2018-06-13
Expire date: 2024-05-31
Experience
September 16, 2021 - June 23, 2023
SAXON FINANCIAL GROUP
May 30, 2017 - March 26, 2021
NFG WEALTH ADVISORS LLC
November 18, 2015 - January 4, 2017
EFG CAPITAL ADVISORS INC.
August 9, 2013 - January 4, 2017
EFG ASSET MANAGEMENT (AMERICAS) CORP.
May 23, 2013 - January 4, 2017
EFG CAPITAL INTERNATIONAL
August 26, 2011 - April 8, 2013
HSBC SECURITIES (USA) INC.
July 21, 2011 - April 8, 2013
HSBC SECURITIES (USA) INC.
September 9, 2010 - July 14, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 2010 - July 14, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2008 - December 4, 2008
SINCLAIR & COMPANY, LLC
October 13, 2005 - December 31, 2009
NETO FINANCIAL GROUP, INC.
Primary Firm SEC Registration
SAXON FINANCIAL GROUP
CRD#: 311687 / SEC#: 801-120283
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
SAXON FINANCIAL GROUP
CRD#: 311687 / SEC#: 801-120283
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,713 |
| AUM (Assets Under Management) | $ 616,477,568 |
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.
