Henry Gotlob
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.
Henry Gotlob was a registered financial advisor .
Henry is a previously registered financial advisor and started their career in finance in 1981. Henry had worked at 6 firms and has passed the Series 65, Series 63, SIE, 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
March 31, 2014 - December 31, 2015
FOGEL NEALE WEALTH MANAGEMENT, LLC
February 7, 2014 - February 12, 2020
FOGEL NEALE SECURITIES, LLC
March 16, 2011 - June 6, 2012
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
March 6, 1996 - June 4, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 4, 2009
CITIGROUP GLOBAL MARKETS INC.
July 11, 1983 - July 31, 1993
LEHMAN BROTHERS INC.
May 18, 1981 - July 5, 1983
PRUDENTIAL EQUITY GROUP, LLC
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: 11/17/1986
Foreign Currency Options ExaminationSeries 8
Date: 12/28/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FOGEL NEALE WEALTH MANAGEMENT, LLC
CRD#: 149329 / SEC#: 801-70412
Contact information
Red Flags
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