Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rhett? Claim Your ProfileRhett Paul Neuman has been in the financial services industry since June 14, 1993. Rhett Neuman is currently registered with RBC Capital Markets, LLC. Rhett Neuman is registered to provide securities and advisory services in 28 states. Rhett Neuman holds Series 7, 31, 63, and 65 licenses. Rhett Neuman has a total of 22 approved SRO registrations, 1 approved FINRA registration, and 28 approved state registrations. Rhett Neuman has been with RBC Capital Markets, LLC since January 2009 and was previously employed by Wachovia Securities, LLC and U.S. Bancorp Piper Jaffray Inc. Rhett Neuman has experience in the following areas: public and private employee benefit plans, endowment funds, foundations, family trusts, and various capital and operating funds.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
MN
02/08/2010 - Present
RBC Capital Markets, LLC (STILLWATER MN)
WI
07/28/2000 - 01/16/2009
WACHOVIA SECURITIES, LLC (LUCK WI)
MN
11/01/1996 - 08/08/2000
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
WI
06/15/1993 - 11/04/1996
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
IA
Issued 02/04/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/15/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 06/14/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe 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 GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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