Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil J. Kirk is a financial advisor with over 30 years of experience in the industry. Neil is currently registered with Wells Fargo Clearing Services, LLC. Prior to joining Wells Fargo Clearing Services, LLC, Neil worked at Edward Jones, OTR Global Trading LLC, Cowen and Company, Barclays Capital Inc., Fox-Pitt Kelton Cochran Caronia Waller (USA) LLC, UBS Securities LLC, Sandler, O'Neill & Partners, L.P., Paine Webber Incorporated, and Smith Barney Inc. Neil is a Series 3, 7, 55 and 66 licensed advisor. Neil provides financial planning and investment consulting services to individuals, corporations, institutions, and charitable organizations.
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.
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.
Investment consulting services to institutional clients
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
CT
01/09/2023 - Present
Wells Fargo Clearing Services, LLC (ANSONIA CT)
CT
10/22/2018 - 01/05/2023
EDWARD JONES (WESTON CT)
NY
04/17/2012 - 01/18/2017
OTR GLOBAL TRADING LLC (PURCHASE NY)
NY
04/14/2011 - 10/19/2011
COWEN AND COMPANY (NEW YORK NY)
NY
02/09/2010 - 02/02/2011
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
05/20/2009 - 12/01/2009
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC (NEW YORK NY)
CT
05/09/2000 - 06/02/2009
UBS SECURITIES LLC (STAMFORD CT)
NY
08/26/1998 - 05/02/2000
SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)
NJ
07/14/1994 - 08/25/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/24/1991 - 07/07/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
11/25/1987 - 06/13/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 11/13/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/08/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/18/2017
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/21/1987
Series 3 - National Commodity Futures Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
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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