THOMAS MURRAY NEUMANN

THOMAS MURRAY NEUMANN is currently employed as a Broker and/or Investment Adviser at INDEPENDENT FINANCIAL GROUP, LLC located at 1507 172ND ST NE STE 201, MARYSVILLE, WA, 98271.

THOMAS MURRAY NEUMANN has worked at INDEPENDENT FINANCIAL GROUP, LLC since May 17, 2016

Disclosure History

THOMAS MURRAY NEUMANN has 1 Disclosure Event(s).

Date: August 01, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: Advisor was unaware of this item. This disclosure was found with background check & advisor just was informed that needs to be disclosure on Form U4.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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