Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Short is a financial advisor with UBS Financial Services Inc. with over 20 years of experience in the industry. Neil has been registered with the Securities and Exchange Commission since 2000 and has a proven track record of success. Neil is committed to providing clients with personalized financial advice and guidance. Neil is a highly experienced advisor who can help you achieve your financial goals.
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
TX
10/12/2015 - Present
UBS Financial Services Inc. (AUSTIN TX)
TX
10/01/2012 - 10/22/2015
J.P. MORGAN SECURITIES LLC (AUSTIN TX)
TX
12/08/2006 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (AUSTIN TX)
TX
03/20/2006 - 11/16/2006
SIGNAL SECURITIES, INC. (AUSTIN TX)
TX
01/22/2004 - 02/17/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (AUSTIN TX)
TX
12/23/1999 - 08/04/2003
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 05/18/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/04/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/16/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1999
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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