Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Kearns is a financial advisor with over 30 years of experience in the industry. Neil currently works at Bofa Securities, Inc. and previously worked for Goldman Sachs & Co. LLC, Deutsche Bank Securities Inc., Credit Suisse First Boston LLC, and Smith Barney, Harris Upham & Co., Incorporated. Neil is licensed to provide investment advice in all 50 states and is a registered representative of FINRA. Neil has a wide range of experience in the financial services industry, including investment banking, equity trading, and investment advisory. Neil provides research-related services.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NY
08/23/2023 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
07/14/2008 - 09/15/2023
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
NY
06/28/2005 - 07/10/2008
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
04/25/1997 - 06/27/2005
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NY
06/09/1994 - 04/30/1997
SMITH BARNEY INC. (NEW YORK NY)
NY
02/13/1992 - 04/28/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
BC
Issued 02/28/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/06/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/15/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/14/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/20/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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