Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
RICHARD HERBERT NEUBERT
CRD#: 1360736
IA
B
NETWORK 1 FINANCIAL ADVISORS INC.CRD#: 121239 Chocowinity, NC
NETWORK 1 FINANCIAL SECURITIES INC.CRD#: 13577 Chocowinity, NC
0
Disclosures
39
Years of Experience
View By:
State Registrations
B
Illinois 1/2/2004
B
New York 10/29/2003
B
New Jersey 11/7/2003
B
North Carolina 8/5/2015
IA
New Jersey 5/31/2007
IA
North Carolina 10/2/2015
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/31/2007
B
Registered with this firm since 10/29/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/23/2002 - 11/21/2003 | NEW YORK, NY | |
B | 01/28/2000 - 10/23/2002 | NEW YORK, NY | |
B | 11/02/1998 - 02/24/2000 | BEVERLY HILLS, CA | |
B | 12/09/1994 - 11/05/1998 | ENGLEWOOD, CO | |
B | 08/05/1994 - 11/01/1994 | NEW YORK, NY | |
B | 05/24/1988 - 09/07/1994 | NEW YORK, NY | |
B | 02/02/1987 - 05/31/1988 | ||
B | 07/24/1985 - 01/31/1987 |
ENGLEWOOD, CO
12/09/1994 - 11/05/1998
NEW YORK, NY
08/05/1994 - 11/01/1994
NEW YORK, NY
05/24/1988 - 09/07/1994
For additional information about investment advisers or broker-dealers, please visit
B
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.
IA
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.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.