Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neville? Claim Your ProfileNeville Kapoor is a financial advisor currently registered with Charles Schwab & Co., Inc. in Mount Kisco, New York. Neville has been active in the financial industry since 2010 and has worked with a variety of firms, including Morgan Stanley, E*TRADE Securities LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Neville has a strong background in both investment advising and brokerage services. Neville holds Series 6, 7, 9, 10, 63, and 65 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
NY
05/22/2024 - Present
Charles Schwab & CO., Inc. (Mt Kisco NY)
NJ
03/23/2023 - 04/08/2024
MORGAN STANLEY (Jersey City NJ)
NY
06/14/2018 - 09/05/2023
E*TRADE SECURITIES LLC (Purchase NY)
NY
07/28/2014 - 06/07/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (YORKTOWN HEIGHTS NY)
NY
10/01/2012 - 07/23/2013
J.P. MORGAN SECURITIES LLC (SCARSDALE NY)
NY
01/06/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (YONKERS NY)
IA
Issued 11/26/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/29/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/30/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/27/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2014
Series 7 - General Securities Representative Examination
BC
Issued 01/05/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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