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Neal Joseph Coleman

Morgan Stanley

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About Neal Joseph Coleman

Neal Joseph Coleman is a financial advisor registered with Morgan Stanley in Newport Beach, California. Neal has been working in the financial industry since 1987. He is currently registered with Morgan Stanley and has previously worked at RBC Capital Markets Corporation, Sutro & Co. Incorporated, Dean Witter Reynolds Inc., Smith Barney Inc., Lehman Brothers Inc., Prudential Securities Incorporated, Thomson McKinnon Securities Inc., and Bateman Eichler, Hill Richards, Incorporated. Neal has a variety of licenses and registrations, including Series 3, 7, 63, and 66. Neal offers a wide range of financial services, including portfolio management, financial planning, and pension consulting.

Firm Information

Neal Coleman is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

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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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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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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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

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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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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Neal Coleman’s Registration & Firm History

CA

04/23/2020 - Present

Morgan Stanley (Newport Beach CA)

CA

03/09/2002 - 06/07/2010

RBC CAPITAL MARKETS CORPORATION (LONG BEACH CA)

CA

01/28/1998 - 03/09/2002

SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)

NY

12/02/1995 - 01/29/1998

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

NY

07/31/1993 - 11/21/1995

SMITH BARNEY INC. (NEW YORK NY)

NY

03/30/1992 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

08/25/1989 - 04/02/1992

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

04/28/1989 - 08/25/1989

THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)

NA

08/20/1987 - 05/11/1989

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

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Licenses & Designations

BOTH

Issued 01/23/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/01/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/15/1987

Series 7 - General Securities Representative Examination

BC

Issued 01/08/1987

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Neal Joseph Coleman.
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