Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neal? Claim Your ProfileNeal Baumann is a financial advisor currently working with Benjamin F. Edwards & Company, Inc. Neal has been in the financial industry since 1986. Neal holds a Series 3, 6, 7, 10, and 63 licenses. Neal also holds a Series 65 and Series 9 licenses. Neal has worked with A. G. Edwards & Sons, Inc. and WELLS FARGO ADVISORS, LLC. Neal also serves as a board member for AGING IN AMERICA, 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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
A percentage of the total value of assets under management is charged.
1
2
NY
07/24/2021 - Present
Benjamin F. Edwards & Company, Inc. (WHITE PLAINS NY)
NY
01/01/2008 - 09/28/2009
WELLS FARGO ADVISORS, LLC (WHITE PLAINS NY)
NY
07/31/1992 - 01/03/2008
A. G. EDWARDS & SONS, INC. (WHITE PLAINS NY)
NY
05/23/1986 - 08/14/1992
DAVID LERNER ASSOCIATES, INC. (SYOSSET NY)
IA
Issued 07/28/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/30/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/14/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/1997
Series 3 - National Commodity Futures Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
BC
Issued 05/22/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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