Individual Firm
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LEE STEPHEN NEUGEBAUER
LEE NEUGEBAUER
CRD#: 4754832
IA
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MORGAN STANLEYCRD#: 149777 888 Veterans Memorial Highway
Suite 300
Hauppauge, NY 11788
Suite 300
Hauppauge, NY 11788
View By:
7/24/2014
Customer Dispute
Denied
State Registrations
B
Arizona 8/14/2020
IA
New Jersey 8/14/2020
B
California 3/10/2023
B
New York 8/14/2020
B
Colorado 12/7/2022
IA
New York 6/16/2021
B
Connecticut 8/14/2020
B
North Carolina 8/14/2020
B
Delaware 6/17/2021
B
Ohio 6/1/2022
B
Florida 8/14/2020
B
Oregon 10/7/2024
B
Georgia 8/14/2020
B
Pennsylvania 8/14/2020
B
Illinois 5/26/2022
B
South Carolina 6/13/2023
B
Maryland 8/14/2020
B
Tennessee 8/14/2020
B
Massachusetts 8/14/2020
B
Vermont 12/7/2022
B
Nevada 8/14/2020
B
Virginia 8/14/2020
B
New Jersey 8/14/2020
B
Washington 12/7/2022
SRO Registrations
B
B
B
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 8/14/2020
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Registered with this firm since 8/14/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 08/27/2020 | COMMACK, NY | |
B | 10/01/2012 - 08/27/2020 | COMMACK, NY | |
IA | 08/08/2008 - 10/01/2012 | COMMACK, NY | |
B | 05/05/2008 - 10/01/2012 | COMMACK, NY | |
B | 02/20/2004 - 01/29/2007 | NEW YORK, 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.