Neil J. Aslin
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 Jackson Aslin, who also goes by Neil J Aslin, Neil Jacksoin Aslin, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1975. Neil had worked at 6 firms and has passed the Series 63, Series 7, Series 3, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2009 - May 5, 2011
BEST DIRECT SECURITIES, LLC
May 12, 2006 - March 23, 2009
BREWER FINANCIAL SERVICES, LLC
April 7, 1999 - December 31, 2003
PEREGRINE FINANCIALS & SECURITIES, INC.
October 20, 1987 - June 2, 1995
FIRST FINANCIAL GOVERNMENT SECURITIES, INC.
May 21, 1984 - January 16, 1986
CIBC WORLD MARKETS CORP.
November 12, 1975 - July 1, 1982
CONTISECURITIES, 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 00
Date: 7/27/1975
General Securities Principal ExaminationCurrent Firm
BEST DIRECT SECURITIES, LLC
CRD#: 146053 / SEC#: , 8-67777
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEREGRINE FINANCIAL GROUP, INC | OWNER / SOLE MEMBER | |
| LISHCHYNSKY, MARK JOHN JR | CHIEF COMPLIANCE OFFICER | 2478952 |
| LISHCHYNSKY, MARK JOHN JR | PRESIDENT | 2478952 |
| SADZEWICZ, GERY JOSEPH | FINOP | 1090963 |
| TEGTMEIER, JAMES GORDON | BRANCH OFFICE MANAGER / GENERAL SECURITIES PRINCIPAL | 4042452 |
| TEGTMEIER, JAMES GORDON | SROP & CROP | 4042452 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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