Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neha? Claim Your ProfileNeha Smith is a financial advisor who has been working in the industry since 2005. Neha currently works at J.P. Morgan Securities LLC, where she is registered as a Registered Representative (RR). Previously, Neha was employed by Frost Brokerage Services, Inc. and J.P. Morgan Securities LLC. Neha holds the Series 6, Series 7, Series 63 and Series 65 licenses, and has experience working with individuals, corporations and high-net-worth clients.
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
01/17/2023 - Present
J.p. Morgan Securities LLC (Houston TX)
TX
03/21/2013 - 02/23/2022
FROST BROKERAGE SERVICES, INC. (Houston TX)
TX
10/01/2008 - 02/20/2013
J.P. MORGAN SECURITIES LLC (HOUSTON TX)
TX
05/18/2007 - 10/01/2008
J.P. MORGAN SECURITIES INC. (HOUSTON TX)
TX
10/05/2005 - 04/12/2007
CHASE INVESTMENT SERVICES CORP. (HOUSTON TX)
IA
Issued 06/21/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/17/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2007
Series 7 - General Securities Representative Examination
BC
Issued 10/04/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX 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
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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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