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DAVID ROBERT NEUMANN
CRD#: 3214195
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
CHICAGO, IL 60606
0
Disclosures
22
Years of Experience
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State Registrations
IA
Illinois 7/3/2006
B
Illinois 7/5/2006
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 7/3/2006
IA
Registered with this firm since 7/3/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/16/2004 - 05/25/2006 | CHICAGO, IL | |
B | 09/11/2003 - 05/25/2006 | LONG ISLAND CITY, NY | |
B | 07/29/1999 - 03/02/2001 | LONG ISLAND CITY, 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.