Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Peter Neuberger is a financial advisor with over 40 years of experience in the industry. Carl is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and holds licenses in several states including New York, Connecticut, and Texas. Carl has a strong track record of providing investment advice to individuals, families, and businesses. Carl is committed to helping clients achieve their financial goals through personalized investment strategies. Prior to joining Merrill Lynch, Carl was a registered representative with First Investors Corporation.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
10/08/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RIVERHEAD NY)
NA
06/05/1981 - 06/08/1982
FIRST INVESTORS CORPORATION
BOTH
Issued 06/16/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/10/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/09/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 08/21/1982
Series 7 - General Securities Representative Examination
BC
Issued 06/03/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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