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Neal John Fiore

Wells Fargo Clearing Services, LLC

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About Neal John Fiore

Neal Fiore is a financial advisor with over 30 years of experience in the industry. Neal has held positions at several prominent firms, including Deutsche Bank Securities Inc., Raymond James & Associates, Inc., and UBS PaineWebber Inc. Neal is currently registered with Wells Fargo Clearing Services, LLC and is licensed in several states, including New Jersey, New York, and Texas. Neal holds a variety of licenses, including Series 3, 7, 24, 63 and 66. Neal's background spans a range of investment services, including portfolio management, investment consulting, and financial planning. Neal specializes in serving individuals and businesses.

Firm Information

Neal Fiore is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Neal Fiore’s Registration & Firm History

NY

04/28/2023 - Present

Wells Fargo Clearing Services, LLC (NEW YORK NY)

NY

09/06/2016 - 05/05/2023

RAYMOND JAMES & ASSOCIATES, INC. (New York NY)

NY

08/18/2004 - 09/06/2016

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

MO

07/18/2002 - 08/25/2004

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NJ

02/21/2001 - 07/29/2002

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

NY

06/29/1998 - 03/26/2001

UBS WARBURG LLC (NEW YORK NY)

CT

04/14/1998 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NY

05/02/1994 - 04/15/1998

CIBC OPPENHEIMER CORP. (NEW YORK NY)

NY

04/20/1991 - 05/13/1994

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

12/21/1988 - 01/04/1991

CHARTERHOUSE NORTH AMERICA SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 10/17/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/19/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/21/1988

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/20/1991

Series 3 - National Commodity Futures Examination

BC

Issued 06/18/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Neal John Fiore.
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