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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Alan Newman is a financial advisor currently registered with UBS Financial Services Inc. Neil Alan Newman has been in the financial industry since July 1979. Neil Alan Newman is licensed to provide advisory services in multiple states including Arizona, California, Colorado, Delaware, Florida, Illinois, Michigan, New Jersey, New York, North Carolina, and Pennsylvania. Prior to joining UBS Financial Services Inc. Neil Alan Newman was employed at CITIGROUP GLOBAL MARKETS INC. from March 1988 to March 2009, KIDDER, PEABODY & CO. INCORPORATED from October 1981 to March 1988, and BUTCHER & SINGER INC. from September 1979 to November 1981. Neil Alan Newman holds FINRA Series 3, 7, and 63 licenses, as well as the SIE and Series 65. Neil Alan Newman's specializations include portfolio management for individuals, businesses, and pension consulting.
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.
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.
See schedule d - miscellaneous
1
2
PA
08/30/2012 - Present
UBS Financial Services Inc. (PHILADELPHIA PA)
PA
03/08/1988 - 03/10/2009
CITIGROUP GLOBAL MARKETS INC. (PHILADELPHIA PA)
NA
10/21/1981 - 03/02/1988
KIDDER, PEABODY & CO. INCORPORATED
NA
09/26/1979 - 11/05/1981
BUTCHER & SINGER INC.
NA
07/27/1979 - 10/10/1979
FIRST JERSEY SECURITIES, INC.
IA
Issued 07/21/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/1984
Series 3 - National Commodity Futures Examination
BC
Issued 07/21/1979
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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