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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Scott Mitchell is an investment advisor representative with over 40 years of experience in the financial industry. Neil has a long history with the financial services sector, including previous roles at Lehman Brothers Inc., Lehman Brothers Kuhn Loeb Incorporated, and Prudential-Bache Securities Inc. Currently, Neil is an active advisor with Morgan Stanley and specializes in a wide range of services including portfolio management for individuals, businesses, and investment companies, as well as financial planning and pension consulting. Neil is licensed to provide financial advice in numerous states, including New York, Florida, Texas, and Connecticut.
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
NY
10/04/2023 - Present
Morgan Stanley (New York NY)
NY
09/18/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
10/05/1983 - 09/19/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/28/1983 - 06/27/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
NA
01/21/1982 - 10/13/1983
PRUDENTIAL-BACHE SECURITIES INC.
IA
Issued 09/10/2021
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 03/14/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/30/1982
Series 63 - Uniform Securities Agent State Law 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 03/07/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 01/16/1982
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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