Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Kiernan is an experienced financial professional with over 14 years of experience in the industry. Neil currently works at Citigroup Global Markets Inc. where Neil has been since July 2024. Before that, Neil worked at WELLS FARGO SECURITIES, LLC. Neil is registered to provide investment advice in all 50 states. Neil holds a Series 63 license for state securities law and the Series 7 license for the general securities representative examination, as well as a Series 79 for Investment Banking Representative and the Series 6TO for Investment Company Products/Variable Contracts Representative Examination.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
1
2
NY
07/22/2024 - Present
Citigroup Global Markets Inc. (New York NY)
NY
12/02/2022 - 07/16/2024
WELLS FARGO SECURITIES, LLC (New York NY)
NY
03/15/2018 - 09/22/2022
COMMERZ MARKETS LLC (NEW YORK NY)
NY
05/12/2016 - 03/23/2018
FIFTH THIRD SECURITIES, INC. (NEW YORK NY)
NY
07/11/2007 - 03/12/2008
PUNK, ZIEGEL & COMPANY, L.P. (NEW YORK NY)
NY
08/04/2004 - 12/19/2006
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
08/13/2003 - 02/07/2004
CROSS BORDER PRIVATE CAPITAL, L.L.C. (NEW YORK NY)
NY
02/10/2003 - 05/16/2003
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
10/21/1998 - 08/24/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 06/23/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2017
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 05/12/2016
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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