Neal B. Stein
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.
Neal Barry Stein was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1979. Neal had worked at 6 firms and has passed the Series 63, Series 7, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 1994 - January 15, 1995
COLUMBUS FINANCIAL, INC.
January 20, 1988 - August 3, 1992
FORTRESS SECURITIES, INC.
September 21, 1987 - January 4, 1988
AMERIVEST FINANCIAL GROUP, INC.
May 12, 1987 - August 29, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 29, 1983 - May 3, 1985
COASTAL SECURITIES CORPORATION
June 26, 1979 - October 21, 1983
CALIFORNIA MUNICIPAL INVESTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COLUMBUS FINANCIAL, INC.
CRD#: 22709 / SEC#: , 8-39935
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
