Neil Ray Waxman

Current Employers

Employment History

• 04/1983 → Present
  Capital Analysts, Incorporated
  Cleveland, OH
• 06/2010 → Present
  Capital Advisors Ltd., Llc
  Shaker Heights, OH
• 06/2012 → Present
  Lincoln Investment
  Shaker Heights, OH
• 10/2011 → Present
  Life Settlements
  Shaker Heights, OH

Previous Registrations

• 1999-11-26 → 2012-06-01
  Cincinnati Analysts, Inc.
  Cleveland, OH
  Shaker Heights, OH
  Cincinnati, OH

Other Businesses

CAPITAL ADVISORS, LTD, LLC POS: REP/OWN NAT: RIA INV REL: Y HRS: 180 TRD HRS: 105 START: 6/1/10 ADDR: 20600 CHAGRIN BLVD, 1115, SHAKER HTS OH DESCR: IA REP; CAPITAL ADVISORS, LLC POS: AGT/OWN NAT: INS. INV REL: YES HRS: 1 TRD HRS: 1 START: 4/17/83 ADDR: 20600 CHAGRIN BLVD, 1115, SHAKER HTS OH DESCR: INS AGT; CLEVELAND AKRON SOCIETY OF FSP POS: EMERITUS BRD MBR NAT: PRO INDUSTRY ASSOC INV REL: NO # HRS: 1 TRAD HRS: 1 START: 12/18/02 ADDR: P.O. BOX 31416 INDEPENDENCE, OHIO DESCR: NO DIRECT RESPONSIB; CASCADE CAPITAL CORPORATION POS: BRD MEMBER/TRUSTEE NAT: NONPROFIT CERT DEVELOPMENT CORP INV REL: NO HRS: 2 TRD HRS: 1 START: 4/1/97 ADDR: CASCADE PLZ, 18 FL, AKRON OH DESCR: REVIEW OPERATIONS AND LOANS; BRD MEMBER/TRUSTEEE; WRESTLERS IN BUS NETWORK POS: DRCTR NAT: NETWORKING INV REL: NO HRS:2 TRD HRS:1 START: 2/10/14 ADDR: 4500 ROCKSIDE RD INDEPENDENCE OH DESCR: PLAN EVENTS; MOTIVATE WRESTLERS ON CAREERS, HELP GRADS FIND JOBS; BRD OF AD; ASSOC EDITOR NAT: PUBLICATION INV REL: NO HRS: 2 TRD HRS: 0 START: 2/28/14 ADDR: 19 CAMPUS BLVD, 100, NEWTON SQ, PA DESCR: REVIEW, COMMENT, RATE SUBMSSN; MANDEL JEWISH DAY SCHOOL POS: Life Trustee NAT: School PreK-8 Grd INV REL: No # OF HRS: 1 TRD HRS: 0 START DATE: 09/01/98 ADDR: 26500 Shaker Blvd., # 1115, Beachwood OH DESCR: Life Trustee; JEWISH FEDERATION OF CLEVELAND POS: BD of Trustees NAT: Social Welfare INV REL: No # OF HRS: 6 TRD HRS: 2 START DATE: 05/01/19 ADDR: 25701 Science Park, Beachwood OH DESCR: SERVE AS TRUSTEE - ATTEND MEETINGS; JEWISH EDUCATION CTR OF CLEVELAND POS: Trustee/OFFICER OF BD: NAT: NonProfit, supports Jewish Educ INV REL: No # OF HRS: 2 TRAD HRS: 0 START DATE: 12/02/19 ADDR: 2030 S Taylor Rd, Cleveland HTS OH 44118 DESCR: Serve as Trustee, attend meetings; JEWISH FEDERATION OF CLEVELAND SECURITY POS: Committee CHAIR NAT: NonProf INV REL: No # OF HRS: 2 TRAD HRS: 4 START DATE: 07/01/23 ADD: 25701 Science Park Dr, Beachwood OH DESCR: Committee CHAIR for security oper. (beneficiary agencies &institutions); JEWISH FEDERATION OF CLEVELAND POS: Mbr of Rtrmnt Plan Committee NATURE: NonProfit INV REL: No # OF HOURS: 2 TRAD HRS: 0 START DATE: 12/13/2022 ADR: 25701 Science Prk Dr, Beachwood OH 44122 DESCR: Provide advice on allocations org sponsrd ret plans; UNIVERSITY SCHOOL POS: Brd Trustee/ COMMITTEE Mbr, NAT: Grds K-12 INV REL: NO HRS: 2 TRD HRS: 0 START: 10/3/05 7/1/23 (Brd.) ADDR: 2785 SOM CTR RD, HUNTING VALLEY OH DESCR: ASSIST IN PHILANTHROPY. ADVNC COMMITTEE. Brd Mtngs 2X/yr. Elect Drcts; ADOPT AN ATHLETE INC: POS: Off/Agent NATURE: nonprofit INV REL: No # OF HOURS: 0 TRD HRS: 0 START DATE: 09/09/2020 ADDR: 20600 Chagrin Blvd, 1115 Tower E, Shaker HTS OH DESCR: None; NEIL WAXMAN POS: AGT NAT: LIFE SETTLEMENT INV REL: NO HRS: 1 TRD HRS: 1 START: 10/13/10 ADDR: 20600 CHAGRIN BLVD, 1115, SHAKER HTS OH 44122 DESCR: LIFE SETTLEMENTS; M7 HOLDINGS: POS: Board of Advisors INV REL: Yes # OF HOURS: 2, 1 TRD HOURS START DATE: 1/2025 Addr: 75 Market Street, Akron, oh DESCR: Assist M7 Family w/ strategic decisions on vision and operation and providing feedback on existing and future private equity, venture capital and real estate investments. JEWISH FED OF CLEVELAND POS: FINANCE/INV COMMITTEE Mbr, INV REL: NO HRS: 1 TRD HRS: 1 START: 10/15/24 ADDR: 25701 SCIENCE PARK DR., BEACHWOOD OH 44122 DESCR: REVIEW FINANCES AND INVESTMENTS WHICH ARE RECOMMENDED BY A CONSULTING FIRM ENGAGED BY THE ORGANIZATION. Signet Enterprises, LLC POS: Brd of Advirs NAT: REAL ESTATE M&A INV REL: Y HRS: 7 TRD HRS: 1 START: 9/1/14 ADDR: 19 N High Street Akron, OH 44308 DESCR: Apply diverse experience Journal of FPs POS: Reviewer NAT: Reviewer INV REL: N HRS: 2 TRD HRS: 0 START: 2/28/14 ADDR: 19 Campus Blvd Newtown Sq., PA 19073 DESCR: Read manuscripts

Exams

• S63 Uniform Securities Agent State Law Examination
  1984-03-20

Designations