Neal P. Loftus
Professional summary
Neal Patrick Loftus, CIMA® is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.
Neal is registered as a RR (Registered Representative) and started their career in finance in 2012. Neal has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neal Patrick Loftus's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 16, 2022 - Present
APOLLO GLOBAL SECURITIES, LLC
Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701May 18, 2023 - July 16, 2026
ATHENE SECURITIES, LLC
January 25, 2019 - July 19, 2022
BARINGS SECURITIES LLC
March 24, 2015 - February 1, 2019
PT ASSET MANAGEMENT, LLC
March 24, 2015 - January 22, 2019
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
March 2, 2012 - March 23, 2015
INVESCO ADVISERS, INC.
January 25, 2012 - March 23, 2015
INVESCO DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/18/2023)
(1/28/2026)
(8/16/2022)
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(8/16/2022)
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Exams
FINRA
Current Firm
APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO GLOBAL SECURITIES INTERMEDIATE, L.P. | SOLE MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
Red Flags
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