Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Tyler Neubauer is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. John has been in the industry since October 2020. John is registered with FINRA and holds the Series 63, Series 66, and Series 7 licenses as well as the SIE exam. John works out of the Chandler, Arizona office of Merrill Lynch. John's previous work experience includes roles with Fidelity Brokerage Services LLC and Charles Schwab & Co., Inc.. John is registered with the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
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
AZ
05/11/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHANDLER AZ)
TX
10/13/2022 - 12/07/2022
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
AZ
07/29/2020 - 09/24/2021
CHARLES SCHWAB & CO., INC. (Phoenix AZ)
BOTH
Issued 02/08/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/12/2022
Series 7TO - General Securities Representative Examination
BC
Issued 04/28/2020
SIE - Securities Industry Essentials 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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