Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neal? Claim Your ProfileNeal Thomas has been in the financial industry since June 25, 1994. Currently, Neal Thomas is registered with Imperial Capital, LLC. Neal Thomas has also previously been registered with Odeon Capital Group LLC, Dahlman Rose & Company, LLC, Guggenheim Capital Markets, LLC, Maxcor Financial Inc., CIBC World Markets Corp., CIBC Wood Gundy Securities Corp., The Argosy Securities Group, L.P., and New Street Securities Corporation. Neal Thomas is licensed to offer investment advice and products in various states and holds several professional licenses and certifications.
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
09/12/2023 - Present
Imperial Capital, LLC (NEW YORK NY)
NY
11/18/2019 - 08/10/2023
ODEON CAPITAL GROUP LLC (NEW YORK NY)
NY
04/17/2007 - 12/09/2019
IMPERIAL CAPITAL, LLC (NEW YORK NY)
NY
05/17/2006 - 04/03/2007
DAHLMAN ROSE & COMPANY, LLC (NEW YORK NY)
NY
01/28/2004 - 01/18/2006
GUGGENHEIM CAPITAL MARKETS, LLC (NEW YORK NY)
NY
01/15/2002 - 01/26/2004
MAXCOR FINANCIAL INC. (NEW YORK NY)
NY
11/03/1997 - 01/23/2002
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
09/01/1995 - 11/03/1997
CIBC WOOD GUNDY SECURITIES CORP. (NEW YORK NY)
NY
03/11/1994 - 09/01/1995
THE ARGOSY SECURITIES GROUP, L.P. (NEW YORK NY)
NA
03/11/1992 - 05/06/1992
NEW STREET SECURITIES CORPORATION
BC
Issued 03/29/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/17/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 12/14/1994
Series 24 - General Securities Principal Examination
BC
Issued 08/05/1994
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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