Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neal? Claim Your ProfileNeal Bhagat is a financial professional registered with Cowen AND Co. and is active in the broker-dealer (BC) space. Neal has been in the financial industry since 2009. Neal has a diverse range of licenses and registrations including Series 3, 7, 55, 57TO and SIE exams. Neal has previous experience with J.P. MORGAN SECURITIES LLC, NOMURA SECURITIES INTERNATIONAL, INC., CITIGROUP GLOBAL MARKETS INC and WELLS FARGO SECURITIES, LLC. Neal is registered in 14 states including California, Connecticut, Florida, Georgia, Illinois, Kansas, Massachusetts, Minnesota, Missouri, New Jersey, New York, Pennsylvania, Texas, and Washington.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
04/20/2022 - Present
Cowen AND Co. (NEW YORK NY)
NY
07/23/2018 - 03/03/2022
WELLS FARGO SECURITIES, LLC (New York NY)
NY
08/20/2015 - 07/20/2018
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
04/22/2014 - 09/04/2015
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
08/18/2009 - 04/24/2014
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 08/31/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2012
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/17/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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