Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Dermody is a financial advisor with over 34 years of experience in the financial services industry. Neil is currently registered with Wells Fargo Clearing Services, LLC and has a Series 7, Series 63 and SIE licenses. Neil has previously worked at Prudential Securities Incorporated, U.S. Bancorp Piper Jaffray Inc., Smith Barney Shearson Inc., and Drexel Burnham Lambert Incorporated. Neil Dermody specializes in providing investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for businesses and individuals. Neil is registered in multiple states across the country.
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
CO
06/07/2017 - Present
Wells Fargo Clearing Services, LLC (DENVER CO)
NY
10/03/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MN
01/11/1994 - 10/20/2000
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NY
05/22/1989 - 02/28/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NA
04/18/1989 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
BC
Issued 01/19/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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