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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neal? Claim Your ProfileNeal Nelson is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Neal has been in the industry since 1991 and has been with Merrill Lynch since 2003. Neal has a wide range of experience in the financial services industry, and is licensed to provide investment advice in several states. Neal has specialized in portfolio management for individuals and businesses and has worked with clients from a variety of backgrounds. Neal has the Series 31, Series 5, Series 7, and SIE exams. Neal also owns a rental property business in Fort Worth, Texas.
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
TX
05/09/2003 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FORT WORTH TX)
ME
12/15/1994 - 08/29/1996
FORUM FINANCIAL SERVICES, INC. (PORTLAND ME)
MN
01/22/1992 - 12/31/1992
ASKAR CORP. (BLOOMINGTON MN)
MN
11/19/1986 - 01/13/1990
DOUGHERTY, DAWKINS, STRAND & YOST INCORPORATED (MINNEAPOLIS MN)
NA
04/13/1982 - 12/08/1986
KIDDER, PEABODY & CO. INCORPORATED
NA
09/25/1980 - 04/30/1982
DEAN WITTER REYNOLDS INC.
IA
Issued 06/17/2003
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 03/01/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/14/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/20/1980
Series 7 - General Securities 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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