Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil R. Oberoi is a registered representative with Guggenheim Securities, LLC. Neil has been in the industry since January 8, 2004, and is licensed to sell securities in New York. Neil previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Banc of America Securities LLC. Neil holds the Series 7, Series 24, Series 63, Series 79TO and SIE licenses.
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.
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.
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2
NY
06/03/2015 - Present
Guggenheim Securities, LLC (NEW YORK NY)
NY
11/01/2010 - 06/05/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
01/08/2004 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 05/03/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/2014
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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