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AN

Andrew J. Neher

LADENBURG THALMANN & CO.
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 5630152
AN

Professional summary

Andrew James Neher, who also goes by Jamie Neher, is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in Boca Raton, Florida.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2009. Andrew has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jamie Neher

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 Andrew James Neher's CRS (Customer Relationship Summary).
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

September 29, 2025 - Present

LADENBURG THALMANN & CO. INC.

Office #1: 2255 Glades Road, Suite 324a, Boca Raton, FL 33431
BD
CRD#: 505
Boca Raton, FL
Past

November 21, 2017 - August 11, 2023

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
Jupiter, FL
Past

March 1, 2012 - August 31, 2017

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
Jupiter, FL
Past

April 7, 2009 - February 16, 2012

TRADE INFORMATICS LLC

BD
CRD#: 143867
JUPITER, FL
Past

January 19, 2009 - April 8, 2009

SEABOARD SECURITIES, INC.

BD
CRD#: 755
TEQUESTA, FL

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
(9/29/2025)
RR
Texas
(9/29/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/17/2009
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 7
Date: 1/16/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LADENBURG THALMANN & CO. INC.
LADENBURG THALMANN & CO. INC.
LADENBURG THALMANN & CO. INC. | LADENBURG, THALMANN & CO., INC.

CRD#: 505 / SEC#: , 8-17230

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

Main Address
640 5th Avenue 4th Floor, New York, NY 10019
Mailing Address
640 5th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 409-2000
Established
Delaware since 12/03/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OSAIC HOLDINGS, INC.OWNER
BLANCATO, PHILIP SALVATOREEXECUTIVE VICE PRESIDENT, DIRECTOR2122221
GIDEON, MICHAEL RDIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER5315304
GIOVANNIELLO, JOSEPHSVP/GENERAL COUNSEL/ASSISTANT SECRETARY3086071
MITCHELL, CHRISTOPHER MILLSTREASURER AND FINANCIAL OPERATIONS PRINCIPAL2420144
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS2627931
SPATOLA, BRIAN MICHAELCHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL2773548
STEINER, BARRY EVANDIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR2775629

Disclosures

Regulatory Event36
Arbitration14

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

LADENBURG THALMANN & CO. INC.

LADENBURG THALMANN & CO. INC.

CRD#: 505Boca Raton, FL 33431

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