Neil S. Chaffee
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 Smith Chaffee was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1978. Neil had worked at 4 firms and has passed the Series 63, SIE, Series 6, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2012 - May 27, 2015
NEWPORT GROUP SECURITIES, INC.
July 16, 2012 - September 14, 2012
AXCELUS FINANCIAL DISTRIBUTION COMPANY
July 26, 1995 - July 16, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
April 4, 1994 - June 8, 1995
VP DISTRIBUTORS LLC
August 3, 1978 - September 19, 1988
VP DISTRIBUTORS 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 1
Date: 7/27/1978
Registered Representative ExaminationCurrent Firm
NEWPORT GROUP SECURITIES, INC.
CRD#: 29722 / SEC#: 801-60427, 8-44508
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWPORT GROUP HOLDINGS I, INC. | OWNER | |
| KAPLAN, ROBERT BARRY | CCO | 1286735 |
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 22,966,874,617 |
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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