Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neal? Claim Your ProfileNeal Garratt is a financial professional with over 20 years of experience in the industry. Currently, Neal Garratt is a registered representative with J.p. Morgan Securities LLC, located in THE WOODLANDS, TX. Previously, Neal Garratt was registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and BANC OF AMERICA INVESTMENT SERVICES, INC. Neal Garratt holds Series 6, 7, 24, 26, and 63 licenses.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
TX
08/16/2016 - Present
J.p. Morgan Securities LLC (THE WOODLANDS TX)
TX
10/23/2009 - 07/20/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (THE WOODLANDS TX)
TX
07/25/2002 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (THE WOODLANDS TX)
BC
Issued 07/22/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/09/2010
Series 24 - General Securities Principal Examination
BC
Issued 06/12/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/2010
Series 7 - General Securities Representative Examination
BC
Issued 07/24/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 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
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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