Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neal? Claim Your ProfileNeal Brockmeier is an experienced financial professional with over 20 years in the industry. Neal is currently registered with Wells Fargo Securities, LLC. Neal has previously worked with a number of firms including Credit Suisse Securities (USA) LLC, CLSA Americas, LLC, Credit Agricole Securities (USA) Inc., Barclays Capital Inc., Lehman Brothers Inc. and J.P. Morgan Securities Inc.
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
CA
05/14/2022 - Present
Wells Fargo Securities, LLC (SAN FRANCISCO CA)
CA
08/03/2017 - 06/04/2022
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
CA
02/15/2013 - 03/08/2017
CLSA AMERICAS, LLC (SAN FRANCISCO CA)
CA
01/21/2010 - 05/31/2013
CREDIT AGRICOLE SECURITIES (USA) INC. (SAN FRANCISCO CA)
CA
09/22/2008 - 10/23/2009
BARCLAYS CAPITAL INC. (SAN FRANCISCO CA)
CA
04/26/2004 - 09/22/2008
LEHMAN BROTHERS INC. (SAN FRANCISCO CA)
NY
11/06/2000 - 07/02/2003
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 07/09/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 06/04/2014
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/2000
Series 7 - General Securities Representative Examination
Active
Inactive
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BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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