Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Haller is a financial professional with over 20 years of experience in the industry. Neil is currently a Registered Representative with Charles Schwab & Co., Inc. and is licensed in 53 states. Previously, Neil worked with TD Ameritrade, Inc. and Scottrade, Inc. Neil has also been a principal for firms such as Wachovia Securities Financial Network, LLC, and Consolidated Financial Investments, Inc. Neil Haller holds Series 3, 4, 7, 9, 10, 24, 34 and 66 licenses.
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
CO
07/12/2023 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
MO
02/26/2018 - 02/20/2023
TD AMERITRADE, INC. (ST. LOUIS MO)
MO
11/20/2008 - 02/26/2018
SCOTTRADE, INC. (ST LOUIS MO)
MO
10/07/2008 - 10/21/2008
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (ST. LOUIS MO)
MO
04/26/2000 - 10/06/2008
CONSOLIDATED FINANCIAL INVESTMENTS, INC. (CLAYTON MO)
BOTH
Issued 07/27/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/02/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/16/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/13/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/09/2011
Series 24 - General Securities Principal Examination
BC
Issued 06/09/2010
Series 4 - Registered Options Principal Examination
BC
Issued 12/06/2021
Series 34 - Retail Off-Exchange FOREX Examination
BC
Issued 07/13/2020
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Neil Haller is the right advisor for you? Invested Better is here to help.
