Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neal? Claim Your ProfileNeal Joseph Walton is a financial advisor currently working for Merrill Lynch, Pierce, Fenner & Smith Inc. Neal has been working in the financial services industry since November 23, 1993. Neal is registered to provide financial advice in Arizona, California, Colorado, Florida, Georgia, Hawaii, Illinois, Indiana, Kansas, Maryland, Michigan, Missouri, Nevada, New York, North Carolina, South Carolina, Tennessee, Texas, Utah and Virginia. Neal also holds the Series 7, Series 31, Series 63, and Series 65 licenses, as well as the SIE. Neal has worked for Royal Alliance Associates, Inc. in Scottsdale, Arizona. Neal has also worked at Bank of America, NA in San Diego, California. Neal and his firm, Merrill Lynch, Pierce, Fenner & Smith Inc. manage assets for individual investors, high-net-worth individuals, corporations, insurance companies, charitable organizations, state and municipal entities, pension and profit sharing plans, and banking or thrift institutions.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
09/10/1998 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LA JOLLA CA)
AZ
05/28/1993 - 06/04/1993
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
IA
Issued 05/19/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/15/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 05/27/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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