Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Anthony Di carlo is a financial professional with over 20 years of experience in the industry. Neil has held various roles with firms such as Seaport Securities Corp., Advanced Equities Services Corp., and Quintin Group, LTD. Neil has a broad range of experience, and is currently a registered representative with Charles Schwab & Co., Inc. Neil is a Series 7, 25, 55, 57, 63, and 14 licensed professional. Neil is registered in California and New York and specializes in financial planning and portfolio management.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
NY
03/18/2016 - Present
Charles Schwab & CO., Inc. (New York City NY)
NY
01/02/2015 - 02/09/2016
SEAPORT SECURITIES CORP. (NEW YORK NY)
NY
11/30/2001 - 01/02/2015
ADVANCED EQUITIES SERVICES CORP. (NEW YORK NY)
NY
10/01/2000 - 12/03/2001
QUINTIN GROUP,LTD. (NEW YORK NY)
BC
Issued 05/06/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/27/2005
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/10/1999
Series 25 - NYSE Trading Assistant Examination
BC
Issued 05/08/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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