Individual Firm
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ARLENE MERLE NEFF
CRD#: 1173128
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A. NEFF ASSOCIATES LLCCRD#: 170488 PITTSBURGH, PA
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9/5/2017
Regulatory
Final
State Registrations
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Pennsylvania 12/4/2017
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/07/2014 - 11/30/2017 | FORT WORTH, TX | |
IA | 05/28/2014 - 12/31/2014 | PITTSBURGH, PA | |
IA | 03/09/2011 - 02/05/2014 | PITTSBURGH, PA | |
B | 11/17/1987 - 02/05/2014 | PITTSBURGH, PA | |
B | 08/23/1983 - 11/27/1987 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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