Neal J. Fiorino
Professional summary
Neal Joseph Fiorino is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Houston, Texas.
Neal is registered as a RR (Registered Representative) and started their career in finance in 2018. Neal has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neal Joseph Fiorino's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 2020 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 3040 Post Oak Blvd. Suite 1020, Houston, TX 77056April 10, 2020 - November 24, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
September 20, 2019 - March 27, 2020
CHARLES SCHWAB & CO., INC.
December 13, 2018 - March 27, 2020
CHARLES SCHWAB & CO., 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
(4/10/2020)
Exams
Series 7TO
Date: 12/13/2018
General Securities Representative ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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