Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Konigsberg is a financial advisor at UBS Financial Services Inc. with over 35 years of experience in the industry. Neil is a registered representative in multiple states and offers a range of services including financial planning, portfolio management, and investment advisory. Neil has previously worked at Lehman Brothers Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
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 10/02/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/21/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
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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