NH
Neil M. Hohmann
BROWN BROTHERS HARRIMAN INVESTMENTS
New York, NY 10005
Some features on this profile are disabled
CRD#: 5182887
NH
Professional summary
Neil M Hohmann, who also goes by Neil M Hohmana, is a registered financial professional currently at BROWN BROTHERS HARRIMAN INVESTMENTS, LLC located in New York, New York.
Neil is registered as a RR (Registered Representative) and started their career in finance in 2008. Neil has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Neil M Hohmana
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Neil M Hohmann's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 29, 2016 - Present
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
Office #1: 140 Broadway, New York, NY 10005BD
CRD#: 282732
New York, NY
Past
September 30, 2009 - December 31, 2018
BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
RIA
CRD#: 111231
NEW YORK, NY
Past
March 3, 2009 - November 30, 2016
BROWN BROTHERS HARRIMAN & CO.
BD
CRD#: 104487
NEW YORK, NY
Past
October 1, 2008 - January 12, 2009
BROWN BROTHERS HARRIMAN & CO.
BD
CRD#: 104487
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/1/2017)
RR
Alaska(8/1/2017)
RR
Arizona(8/1/2017)
RR
Arkansas(8/1/2017)
RR
California(8/1/2017)
RR
Colorado(8/1/2017)
RR
Connecticut(8/1/2017)
RR
Delaware(8/1/2017)
RR
District of Columbia(8/1/2017)
RR
Florida(8/1/2017)
RR
Georgia(8/1/2017)
RR
Hawaii(8/1/2017)
RR
Idaho(8/1/2017)
RR
Illinois(8/1/2017)
RR
Indiana(8/1/2017)
RR
Iowa(8/1/2017)
RR
Kansas(8/1/2017)
RR
Kentucky(8/1/2017)
RR
Louisiana(8/1/2017)
RR
Maine(8/1/2017)
RR
Maryland(8/1/2017)
RR
Massachusetts(8/1/2017)
RR
Michigan(8/1/2017)
RR
Minnesota(8/1/2017)
RR
Mississippi(8/1/2017)
RR
Missouri(8/1/2017)
RR
Montana(8/1/2017)
RR
Nebraska(8/1/2017)
RR
Nevada(8/1/2017)
RR
New Hampshire(8/1/2017)
RR
New Jersey(8/1/2017)
RR
New Mexico(8/1/2017)
RR
New York(7/31/2017)
RR
North Carolina(8/1/2017)
RR
North Dakota(8/1/2017)
RR
Ohio(8/1/2017)
RR
Oklahoma(8/1/2017)
RR
Oregon(8/1/2017)
RR
Pennsylvania(8/1/2017)
RR
Puerto Rico(8/1/2017)
RR
Rhode Island(8/1/2017)
RR
South Carolina(8/1/2017)
RR
South Dakota(8/1/2017)
RR
Tennessee(8/1/2017)
RR
Texas(8/1/2017)
RR
Utah(8/1/2017)
RR
Vermont(8/1/2017)
RR
Virgin Islands(8/1/2017)
RR
Virginia(8/1/2017)
RR
Washington(8/1/2017)
RR
West Virginia(8/1/2017)
RR
Wisconsin(8/1/2017)
RR
Wyoming(8/1/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BB
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
CRD#: 282732 / SEC#: , 8-69731
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
140 Broadway, New York, NY 10005-1108
Mailing Address
140 Broadway, New York, NY 10005-1108
Phone number
(212) 483-1818
Established
Delaware since 11/09/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN BROTHERS HARRIMAN & CO. | SOLE MEMBER | |
| GREIFENKAMP, DANIEL JOSEPH | CEO, CHAIRMAN OF THE BOARD | 2180478 |
| HUTSON, JOSHUA EYARE | CCO | 2912952 |
| KRUCZEK, ROBERT PATRICK | DIRECTOR | 2389311 |
| MESKIN, JEFFREY BRYAN | DIRECTOR | 2855280 |
| PUSTORINO, PAUL JAMES | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 5059093 |
| SCHOENFELD, JEFFREY ALAN | DIRECTOR | 2490214 |
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.
