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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 Mitchell is a financial advisor with over 40 years of experience in the industry. Neil has a broad range of experience working for firms like Lehman Brothers Inc, Prudential-Bache Securities Inc, and Morgan Stanley & Co. Incorporated. Neil is currently registered with Wealthpenn.comllc in various states and has multiple licenses, including Series 7, 63, 66, and 65. Neil is dedicated to providing high-quality financial advice to individuals, families, and businesses.
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
Wealthpenn.comllc (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 9/10/2021
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 3/14/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 7/30/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/7/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 1/16/1982
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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