Stephanie K. Neidig
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.
Stephanie Katharine Neidig was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2008. Stephanie had worked at 4 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
June 22, 2011 - March 3, 2015
LNW
June 18, 2010 - May 17, 2011
QUASAR DISTRIBUTORS, LLC
May 8, 2009 - April 30, 2010
BARCLAYS CAPITAL INC.
September 22, 2008 - April 30, 2010
BARCLAYS CAPITAL INC.
September 12, 2008 - September 22, 2008
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
LNW
CRD#: 107341 / SEC#: 801-36445
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
LNW
CRD#: 107341 / SEC#: 801-36445
Contact information
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,068 |
| AUM (Assets Under Management) | $ 12,230,221,045 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2025 | ||
| 11/20/2024 | ||
| 01/25/2024 | ||
| 02/24/2023 |
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.
