Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neal? Claim Your ProfileNeal Allen Bailey is a financial professional with over 25 years of experience in the industry. Neal is currently registered with Alliance-One Investments, LLC and has previously held positions at firms including Fidelity Brokerage Services LLC, TD Ameritrade, Inc., UBS Financial Services Inc., and Charles Schwab & Co., Inc.. Neal is a Series 7, Series 10, Series 63, and Series 65 licensed professional, demonstrating a comprehensive understanding of the financial markets.
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.
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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2
OK
05/24/2024 - Present
Alliance-ONE Investments, LLC (Tulsa OK)
FL
09/27/2011 - 10/01/2021
FIDELITY BROKERAGE SERVICES LLC (JACKSONVILLE FL)
FL
10/26/2009 - 09/01/2011
TD AMERITRADE, INC. (PONTE VEDRA BEACH FL)
TN
09/13/2007 - 02/24/2009
UBS FINANCIAL SERVICES INC. (OAK RIDGE TN)
NC
02/01/2007 - 08/23/2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
TX
01/23/1997 - 01/04/2006
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
09/05/1996 - 01/06/1997
QUICK & REILLY, INC. (NEW YORK NY)
CA
07/01/1996 - 09/06/1996
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
NY
07/31/1993 - 09/13/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
06/30/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
06/25/1991 - 06/29/1992
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MI
02/05/1991 - 05/24/1991
OLDE DISCOUNT CORPORATION (DETROIT MI)
MN
12/03/1990 - 02/13/1991
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
12/03/1990 - 02/13/1991
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 06/18/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/27/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/19/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/19/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/19/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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