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NEIL ROBERT SOSLER
CRD#: 4205566
IA
B
MARINER WEALTHCRD#: 140195 800 S. DOUGLAS ROAD
SUITE 900
CORAL GABLES, FL 33134
SUITE 900
CORAL GABLES, FL 33134
MSEC, LLCCRD#: 154327 800 South Douglas Road
Suite 900
Coral Gables, FL 33134
Suite 900
Coral Gables, FL 33134
0
Disclosures
22
Years of Experience
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State Registrations
B
Colorado 7/16/2019
B
Maryland 7/16/2019
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Florida 6/6/2019
B
Puerto Rico 10/31/2022
B
Florida 7/16/2019
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Texas 5/20/2021
SRO Registrations
B
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Registered with this firm since 6/6/2019
B
Registered with this firm since 7/16/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/09/2004 - 07/17/2019 | CORAL GABLES, FL | |
IA | 05/12/2004 - 06/11/2019 | CORAL GABLES, FL | |
B | 06/03/2019 - 06/03/2019 | OVERLAND PARK, KS | |
B | 09/27/2000 - 11/09/2001 | NEW YORK, NY |
CORAL GABLES, FL
05/12/2004 - 06/11/2019
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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.