Robert A. Neuendorf
Professional summary
Robert Anderson Neuendorf was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 2010. Prior to being barred, Robert had worked at 6 firms, which includes DAVID LERNER ASSOCIATES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, EQUITABLE ADVISORS LLC, WILMINGTON CAPITAL SECURITIES LLC, EKN FINANCIAL SERVICES INC., WINDSOR STREET CAPITAL LP.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2017 - August 8, 2018
DAVID LERNER ASSOCIATES, INC.
March 8, 2017 - June 8, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 2016 - June 8, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 22, 2016 - July 14, 2016
EQUITABLE ADVISORS, LLC
August 23, 2011 - December 4, 2015
WILMINGTON CAPITAL SECURITIES, LLC
February 22, 2011 - September 8, 2011
EKN FINANCIAL SERVICES INC.
March 23, 2010 - January 10, 2011
WINDSOR STREET CAPITAL, LP
State Registrations and Notice Filings
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Exams
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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