Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil O'Connor is an investment advisor representative with Wealthpenn.comllc. Neil has been in the industry since 1994 and has experience with a variety of firms including LPL Financial LLC, CUSO Financial Services, L.P., WM Financial Services, Inc., and Wells Fargo Securities Inc.. Neil is licensed in 33 states and has a broad range of specializations. Neil can provide a variety of services including financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for individuals, businesses, and investment companies.
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.
Strategic management for diversified investment portfolios.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
02/24/2020 - Present
Wealthpenn.comllc (Palo Alto CA)
CA
12/15/2010 - 05/19/2016
LPL FINANCIAL LLC (SAN MATEO CA)
CA
02/20/2004 - 12/15/2010
CUSO FINANCIAL SERVICES, L.P. (REDWOOD CITY CA)
CA
07/01/2002 - 02/20/2004
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
05/02/2001 - 06/20/2002
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
09/29/1998 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
CA
07/13/1998 - 09/18/1998
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
MO
01/12/1994 - 07/30/1997
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NJ
01/05/1994 - 01/31/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
TX
12/01/1993 - 12/22/1993
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
MA
02/18/1993 - 09/09/1993
BROWN & COMPANY SECURITIES CORPORATION (BOSTON MA)
NE
10/01/1992 - 12/16/1992
WATERHOUSE SECURITIES, INC. (OMAHA NE)
IA
Issued 12/8/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/7/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 4/14/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/19/1994
Series 3 - National Commodity Futures Examination
BC
Issued 9/30/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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