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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 Kaye is a financial advisor currently associated with Wells Fargo Advisors Financial Network, LLC. Neal has been in the industry since 1987. Neal also holds the Series 3, 7, 24 and 63 licenses. Neal provides services to a variety of clients, including high-net-worth individuals, corporations, pension and profit-sharing plans, and charitable organizations. Neal is also a registered investment advisor in Louisiana and Texas.
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.
Investment consulting services to institutional clients
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
LA
10/13/2015 - Present
Wells Fargo Advisors Financial Network, LLC (NEW ORLEANS LA)
LA
04/22/2003 - 09/29/2015
UBS FINANCIAL SERVICES INC. (NEW ORLEANS LA)
NY
03/25/1987 - 04/08/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 08/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/21/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/20/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/03/1991
Series 3 - National Commodity Futures Examination
BC
Issued 03/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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