Neil Spellman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Neil Spellman was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1980. Neil had worked at 4 firms and has passed the Series 65, Series 63, Series 15, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2001 - December 31, 2020
DB FINANCIAL MANAGEMENT, INC.
July 31, 1993 - February 21, 2001
CITIGROUP GLOBAL MARKETS INC.
March 4, 1982 - July 31, 1993
LEHMAN BROTHERS INC.
March 20, 1980 - March 17, 1982
CALIFORNIA MUNICIPAL INVESTORS, 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
Exams
Series 15
Date: 6/5/1984
Foreign Currency Options ExaminationSeries 8
Date: 6/18/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DB FINANCIAL MANAGEMENT, INC.
CRD#: 112107 / SEC#: 801-60212
Contact information
Red Flags
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