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.
NEIL HOWARD HALLER
CRD#: 2249402
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Lone Tree, CO 80124
0
Disclosures
24
Years of Experience
View By:
State Registrations
B
Alabama 11/1/2022
B
Montana 11/1/2022
B
Alaska 1/6/2023
B
Nebraska 11/1/2022
B
Arizona 11/1/2022
B
Nevada 1/3/2023
B
Arkansas 11/1/2022
B
New Hampshire 11/1/2022
B
California 11/1/2022
B
New Jersey 11/1/2022
B
Colorado 11/1/2022
B
New Mexico 11/1/2022
IA
Colorado 7/12/2023
B
New York 11/1/2022
B
Connecticut 11/1/2022
B
North Carolina 2/14/2023
B
Delaware 11/1/2022
B
North Dakota 11/1/2022
B
District of Columbia 11/1/2022
B
Ohio 11/1/2022
B
Florida 11/1/2022
B
Oklahoma 11/1/2022
B
Georgia 11/1/2022
B
Oregon 11/18/2022
B
Hawaii 11/1/2022
B
Pennsylvania 11/16/2022
B
Idaho 11/1/2022
B
Puerto Rico 11/1/2022
B
Illinois 11/1/2022
B
Rhode Island 11/1/2022
B
Indiana 11/1/2022
B
South Carolina 11/1/2022
B
Iowa 11/1/2022
B
South Dakota 11/1/2022
B
Kansas 11/1/2022
B
Tennessee 11/1/2022
B
Kentucky 11/1/2022
B
Texas 11/1/2022
B
Louisiana 11/1/2022
B
Utah 11/16/2022
B
Maine 11/1/2022
B
Vermont 11/1/2022
B
Maryland 11/1/2022
B
Virgin Islands 11/1/2022
B
Massachusetts 11/23/2022
B
Virginia 11/17/2022
B
Michigan 11/1/2022
B
Washington 11/1/2022
B
Minnesota 11/1/2022
B
West Virginia 12/22/2022
B
Mississippi 11/1/2022
B
Wisconsin 11/1/2022
B
Missouri 11/1/2022
B
Wyoming 11/1/2022
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 10/4/2022
B
Registered with this firm since 11/1/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/26/2018 - 02/20/2023 | ST. LOUIS, MO | |
IA | 02/27/2018 - 10/14/2022 | ST. LOUIS, MO | |
IA | 02/26/2018 - 06/14/2018 | St Louis, MO | |
IA | 07/27/2017 - 02/26/2018 | SAINT LOUIS, MO | |
B | 11/20/2008 - 02/26/2018 | ST LOUIS, MO | |
B | 10/07/2008 - 10/21/2008 | ST. LOUIS, MO | |
B | 04/26/2000 - 10/06/2008 | CLAYTON, MO |
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.