Individual Firm
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TROY ADRIAN NEILY
Troy A Neily
CRD#: 2859231
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 302 Riverway Place
Bedford, NH 03110
Bedford, NH 03110
View By:
7/1/2013
Customer Dispute
Denied
State Registrations
B
Alabama 10/9/2019
B
New York 4/8/2021
B
Connecticut 9/16/2019
B
North Carolina 9/16/2019
B
Florida 7/7/2020
B
Ohio 9/16/2019
B
Georgia 6/20/2024
B
Pennsylvania 9/16/2019
B
Illinois 6/27/2024
B
Rhode Island 9/16/2019
B
Maine 9/17/2019
B
South Carolina 2/24/2020
B
Massachusetts 9/16/2019
B
Texas 12/11/2023
B
Nevada 9/16/2019
IA
Texas 12/11/2023
B
New Hampshire 9/16/2019
B
Vermont 9/16/2019
IA
New Hampshire 9/16/2019
B
Washington 9/16/2019
B
New Jersey 9/18/2019
B
West Virginia 9/8/2020
SRO Registrations
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 9/16/2019
B
Registered with this firm since 9/16/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/21/2006 - 10/08/2019 | MANCHESTER, NH | |
B | 04/21/2006 - 10/08/2019 | MANCHESTER, NH | |
IA | 03/28/2011 - 12/31/2013 | MANCHESTER, NH | |
IA | 02/13/2009 - 12/31/2010 | MANCHESTER, NH | |
IA | 05/28/1999 - 04/18/2006 | MANCHESTER, NH | |
B | 02/15/1999 - 04/18/2006 | MANCHESTER, NH | |
B | 02/20/1998 - 12/10/1998 | SMITHFIELD, RI | |
B | 06/18/1997 - 12/04/1997 | HARTFORD, CT |
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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.