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NL

Neil F. Luria

SOLIC CAPITAL LLC
Winter Park, FL 32789
Some features on this profile are disabled
CRD#: 5252776
NL

Professional summary

Neil Franklin Luria is a registered financial professional currently at SOLIC CAPITAL LLC located in Winter Park, Florida.

Neil is registered as a RR (Registered Representative) and started their career in finance in 2012. Neil has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neil Franklin Luria'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®
None

Experience

Current

July 25, 2012 - Present

SOLIC CAPITAL LLC

Office #1: 425 W. New England Avenue Suite 300, Winter Park, FL 32789
BD
CRD#: 158911
Winter Park, FL
Past

February 23, 2012 - December 31, 2013

ANKURA CAPITAL ADVISORS, LLC

BD
CRD#: 114155
EVANSTON, IL

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
Florida
(3/6/2018)
RR
Illinois
(7/25/2012)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/6/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/21/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/22/2012
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SOLIC CAPITAL LLC
SOLIC CAPITAL LLC

CRD#: 158911 / SEC#: , 8-68942

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
444 West Lake Street Suite 2450, Chicago, IL 60606
Mailing Address
444 West Lake Street Suite 2450, Chicago, IL 60606
Phone number
(847) 583-1618
Established
Delaware since 05/24/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SOLIC HOLDINGS LLCMEMBER
CASAS, EDWARD RAULMANAGING MEMBER4813169
LENART, BRIAN DOUGLASEXECUTIVE REP, CCO, AMLCO, CFO, FINOP, PFO/POO736107

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.

Company Information

SOLIC CAPITAL LLC

CRD#: 158911Winter Park, FL 32789

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