Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Adams is a financial advisor with over 20 years of experience in the industry. Neil is currently registered with Raymond James & Associates, Inc. Neil has previously been registered with Morgan Keegan & Company, Inc., and Morgan Stanley DW Inc. Neil has passed the Series 66, Series 7, Series 9, Series 10, Series 31, and SIE exams. Neil is registered in 32 states and the District of Columbia. Neil specializes in providing financial planning, portfolio management, pension consulting, and educational seminars.
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.
Please see note in schedule d - miscellaneous
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.
1
2
MO
04/23/2013 - Present
Raymond James & Associates, Inc. (ST LOUIS MO)
MO
05/19/2005 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (TOWN AND COUNTRY MO)
NY
06/28/2002 - 05/26/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 07/19/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/08/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/27/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 06/27/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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