Neil A. Branham
Professional summary
Neil Allen Branham is a registered financial professional currently at L.J. HART AND COMPANY located in St. Louis, Missouri.
Neil is registered as a RR (Registered Representative) and started their career in finance in 2016. Neil has worked at 1 firm and has passed the Series 63, Series 50, SIE and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neil Allen Branham's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 17, 2016 - Present
L.J. HART AND COMPANY
Office #1: 8000 Forsyth Blvd Clhart, St. Louis, MO 63105State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/3/2016)
Exams
FINRA
Current Firm
L.J. HART AND COMPANY
CRD#: 28867 / SEC#: , 8-43976
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| HARMON, THOMAS DARIN | CHAIRMAN | 7787415 |
| PISARKIEWICZ, THOMAS JOHN | PRESIDENT/CEO/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TREASURER | 5173363 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET MCSHANE | CORPORATE SECRETARY / GENERAL COUNSEL | 7576973 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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Company Information
L.J. HART AND COMPANY
CRD#: 28867St. Louis, MO 63105TRUST BUT VERIFY
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