Individual Firm
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JOHN MICHAEL NEUMANN
John Neumann
CRD#: 1871045
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 10 HUDSON YARDS
NEW YORK, NY 10001
NEW YORK, NY 10001
0
Disclosures
34
Years of Experience
View By:
State Registrations
B
Connecticut 3/2/2022
B
New Hampshire 3/2/2022
IA
Connecticut 3/2/2022
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New Hampshire 3/2/2022
B
Delaware 3/2/2022
B
New Jersey 3/2/2022
IA
Delaware 3/2/2022
IA
New Jersey 3/2/2022
B
District of Columbia 3/2/2022
B
New York 3/2/2022
IA
District of Columbia 3/21/2022
IA
New York 3/2/2022
B
Florida 3/2/2022
B
Pennsylvania 3/2/2022
IA
Florida 3/3/2022
IA
Pennsylvania 3/2/2022
B
Maine 3/2/2022
B
Rhode Island 3/2/2022
IA
Maine 3/2/2022
IA
Rhode Island 3/2/2022
B
Maryland 3/2/2022
B
Virginia 3/2/2022
IA
Maryland 3/2/2022
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Virginia 3/2/2022
B
Massachusetts 3/2/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 3/2/2022
B
Registered with this firm since 3/2/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/21/2019 - 02/08/2022 | MEMPHIS, TN | |
B | 01/23/2015 - 04/05/2019 | SPRINGFIELD, MA | |
B | 09/29/2009 - 04/05/2019 | SPRINGFIELD, MA | |
B | 02/20/2008 - 04/21/2010 | SPRINGFIELD, MA | |
B | 11/27/2007 - 02/01/2008 | PORTLAND, ME | |
B | 04/14/2004 - 01/03/2007 | FREEHOLD, NJ | |
B | 07/12/2000 - 04/16/2004 | PHILADELPHIA, PA | |
B | 08/01/1997 - 06/30/2000 | CHARLOTTE, NC | |
B | 02/28/1997 - 05/09/1997 | NEW YORK, NY | |
B | 04/05/1994 - 02/28/1997 | NEW YORK, NY | |
B | 01/05/1993 - 04/05/1994 | CLEVELAND, OH | |
B | 04/10/1991 - 12/31/1992 | ||
B | 09/20/1988 - 09/13/1990 | PURCHASE, NY |
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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.