Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Bruce Konigsberg is a registered representative with UBS Financial Services Inc. Neil has been in the industry since May 19, 1988. Neil has a Series 7, Series 63, and Series 66 license, and holds registrations in multiple states including California, Texas, Arizona, Colorado, Connecticut, Florida, Nevada, New York, South Dakota, Washington, and more. Neil has previously been registered with Lehman Brothers Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., BANC OF AMERICA SECURITIES LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, THE BOSTON GROUP, and A.S. GOLDMEN & CO., INC. Neil is a member of the San Ramon Valley High School Boosters, where Neil is a member of the Board of Directors and serves as Treasurer.
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
CA
02/13/2017 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
02/26/2004 - 09/24/2008
LEHMAN BROTHERS INC. (SAN FRANCISCO CA)
MA
08/18/2003 - 03/18/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
08/23/1999 - 08/20/2003
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
08/20/1997 - 08/27/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
04/05/1995 - 04/24/1997
THE BOSTON GROUP (LOS ANGELES CA)
NJ
10/25/1994 - 04/12/1995
A.S. GOLDMEN & CO., INC. (RED BANK NJ)
NY
12/22/1987 - 09/21/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 10/2/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 1/21/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1987
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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