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James Kerby Neill

ASL Capital Markets Inc.

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About James Kerby Neill

James Neill is a registered principal with ASL Capital Markets Inc. in Stamford, CT. James Neill passed the General Securities Principal Examination on October 31, 2022. James Neill's registration with ASL Capital Markets Inc. became effective on September 15, 2022.

Firm Information

James Neill is currently registered with ASL Capital Markets Inc.. ASL Capital Markets Inc. is a corporation that was formed on September 20, 2016. The firm is registered with the Securities and Exchange Commission (SEC) and all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

33

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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James Neill’s Registration & Firm History

CT

09/15/2022 - Present

ASL Capital Markets Inc. (STAMFORD CT)

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Licenses & Designations

BC

Issued 10/31/2022

Series 24 - General Securities Principal Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Kerby Neill.
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