Neil F. Anderson
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.
Neil Francis Anderson was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1973. Neil had worked at 8 firms and has passed the Series 63, Series 65, Series 31 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2011 - June 20, 2012
SECURIAN FINANCIAL SERVICES, INC.
November 18, 2011 - June 20, 2012
SECURIAN FINANCIAL SERVICES, INC.
April 7, 2009 - August 17, 2011
OSAIC FS, INC.
March 11, 2009 - August 17, 2011
OSAIC FS, INC.
August 12, 2006 - April 14, 2009
UBS FINANCIAL SERVICES INC.
August 12, 2006 - April 14, 2009
UBS FINANCIAL SERVICES INC.
August 25, 2000 - August 12, 2006
PIPER SANDLER & CO.
September 27, 1999 - August 12, 2006
PIPER SANDLER & CO.
May 23, 1986 - October 4, 1999
SECURIAN FINANCIAL SERVICES, INC.
July 20, 1977 - October 29, 1981
GORE-HORVATH, INC.
July 28, 1976 - August 17, 1977
DAVE FRIES AND ASSOCIATES
July 23, 1973 - March 17, 1978
PAUL REVERE EQUITY SALES COMPANY (THE)
July 23, 1973 - December 21, 1992
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
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
Series 1
Date: 7/16/1973
Registered Representative ExaminationCurrent Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
