Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Neal is a financial advisor with over 17 years of experience in the industry. Patrick currently works at Wells Fargo Clearing Services, LLC, where he has been since January 2023. Before that, Patrick was a financial advisor at WELLS FARGO SECURITIES, LLC in New York. He has a strong background in providing investment advice and portfolio management. Patrick is licensed to sell securities in Connecticut and has Series 4, 7, 24, 63, SIE and 99TO 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.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
1
2
CT
01/09/2023 - Present
Wells Fargo Clearing Services, LLC (ANSONIA CT)
NY
06/25/2013 - 04/04/2022
WELLS FARGO SECURITIES, LLC (NEW YORK NY)
NY
08/27/2007 - 01/11/2011
JEFFERIES & COMPANY, INC. (NEW YORK NY)
NY
04/19/2005 - 08/28/2007
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
PA
09/23/2003 - 03/30/2005
SUSQUEHANNA FINANCIAL GROUP, LLLP (BALA CYNWYD PA)
BC
Issued 05/22/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/18/2014
Series 4 - Registered Options Principal Examination
BC
Issued 08/28/2013
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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