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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neill? Claim Your ProfileNeill V Smith is a financial advisor with over 27 years of experience in the industry. Neill is currently registered with Morgan Stanley and has been with the firm since May 2012. Neill specializes in providing financial planning, portfolio management, and investment advice to high-net-worth individuals, families, and businesses. Prior to joining Morgan Stanley, Neill held positions at TD Ameritrade, Lincoln Financial Advisors Corporation, E*TRADE Securities LLC, Harrisdirect LLC, Farmers Financial Solutions, LLC, Fidelity Brokerage Services LLC, and Waddell & Reed, Inc. Neill has a wide range of experience and expertise in the financial services industry, and Neill is committed to providing clients with personalized and comprehensive financial advice.
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
UT
06/06/2012 - Present
Morgan Stanley (SOUTH JORDAN UT)
UT
01/12/2012 - 05/15/2012
TD AMERITRADE, INC. (DRAPER UT)
UT
07/20/2010 - 08/12/2011
LINCOLN FINANCIAL ADVISORS CORPORATION (SALT LAKE CITY UT)
UT
01/03/2006 - 04/07/2010
E*TRADE SECURITIES LLC (SANDY UT)
NJ
11/10/2003 - 12/31/2005
HARRISDIRECT LLC (JERSEY CITY NJ)
CA
05/19/2003 - 11/13/2003
FARMERS FINANCIAL SOLUTIONS, LLC (WESTLAKE VILLAGE CA)
RI
01/25/1993 - 11/29/2001
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
KS
11/12/1990 - 03/01/1991
WADDELL & REED, INC. (OVERLAND PARK KS)
BOTH
Issued 01/29/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/08/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/11/2012
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/29/2006
Series 4 - Registered Options Principal Examination
BC
Issued 12/04/2004
Series 24 - General Securities Principal Examination
BC
Issued 11/05/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/23/1993
Series 7 - General Securities Representative Examination
BC
Issued 11/08/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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