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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-07-25
NJ RA APPROVED 2022-03-14
  • TX RA
    APPROVED
    Since 2023-07-25
  • NJ RA
    APPROVED
    Since 2022-03-14

Branch Locations

1200 Morris Tpke Ste 3005, Short Hills, NJ 07078 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 07/2018 05/2019
Columbus Hill Capital Management Short Hills NJ 03/2018 04/2018
Meru Capital Group New York NY 11/2009 12/2017
Bofa Securities, Inc. New York NY 05/2019 10/2021
Lpl Financial Llc Saddle River NJ 11/2021 Present
Lpl Financial, Llc Upper Saddle River NJ 03/2022 Present
Randy Neumann & Associates, Inc. Upper Saddle River NJ 03/2022 Present
  • 07/2018 → 05/2019
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    New York, NY
  • 03/2018 → 04/2018
    Columbus Hill Capital Management
    Short Hills, NJ
  • 11/2009 → 12/2017
    Meru Capital Group
    New York, NY
  • 05/2019 → 10/2021
    Bofa Securities, Inc.
    New York, NY
  • 11/2021 → Present
    Saddle River, NJ
  • 03/2022 → Present
    Upper Saddle River, NJ
  • 03/2022 → Present
    Randy Neumann & Associates, Inc.
    Upper Saddle River, NJ
Previous Registrations
  • 2022-04-07 → 2024-01-03
    Randy Neumann Wealth Management
    Upper Saddle River, NJ
Other Businesses

1. 11/2021- Randy Neumann Wealth Management- DBA for LPL Business (entity for LPL business)- inv. related- Saddle River, NJ 2. 04/12/2022 - Randy Neumann Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date - 11/15/2021 - 160 Hours Per Month/ 160 Hours During Securities Trading - I provide financial planning and consulting services through Randy Newmann Wealth Management, an independent investment advisor firm. I started this business activity in 11/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 3. 09/23/2022 - Randy Neumann Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date - 11/15/2021 - 160 Hours Per Month/ 160 Hours During Securities Trading 4. 01/25/2024 - Trust Financial Services - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 09/18/2023 - 1 Hour Per Month/ During Trading 5. 02/29/2024 - Spark Wealth Management Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/03/2022 - 200 Hours Per Month/ 8 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-03-10
S63 Uniform Securities Agent State Law Examination 2018-11-21
  • S65 Uniform Investment Adviser Law Examination
    2022-03-10
  • S63 Uniform Securities Agent State Law Examination
    2018-11-21
Other Names
  • Eusik Park

View on SEC IAPD

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