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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neal? Claim Your ProfileNeal Michael Dietz is a financial advisor in Newbury, MA. Neal has over 39 years of experience in the financial services industry. Neal is registered with LPL Financial LLC and offers a variety of financial services, including financial planning, portfolio management, and investment advisory services. Prior to joining LPL Financial LLC, Neal was registered with Wachovia Securities, LLC, First Union Capital Markets Corp., Advest, Inc., and Prudential Securities Incorporated. Neal is licensed in 24 states and has earned the following licenses: Series 3, Series 7, Series 8, Series 9, Series 10, Series 63, and Series 65. Neal is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
Consulting and other non-discretionary advisory services
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.
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2
MA
10/18/2007 - Present
LPL Financial LLC (NEWBURY MA)
MA
10/01/1999 - 09/26/2007
WACHOVIA SECURITIES, LLC (NEWBURYPORT MA)
NC
04/01/1999 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
CT
01/23/1995 - 03/25/1999
ADVEST, INC. (HARTFORD CT)
NY
05/22/1984 - 02/10/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/04/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/31/1984
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 02/09/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/1989
Series 3 - National Commodity Futures Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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