Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peggy? Claim Your ProfilePeggy W Neal is a financial advisor with over 30 years of experience in the industry. Peggy is currently registered with J.P. Morgan Securities LLC as a registered representative and investment advisor representative. She is also a registered principal with the firm. Peggy holds Series 6, 7, 9, 10, 24, 63, and 65 licenses. She is licensed in 53 states and districts, including California, Texas, and New York. Peggy has a variety of experience, including working with individuals, corporations, and institutions.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
06/11/2014 - Present
J.p. Morgan Securities LLC (ANAHEIM CA)
CA
07/08/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (DIAMOND BAR CA)
CA
04/06/2010 - 06/28/2010
CITY NATIONAL SECURITIES, INC. (TORRANCE CA)
CA
02/10/2007 - 03/31/2010
ESSEX NATIONAL SECURITIES, INC. (LOS ANGELES CA)
CA
12/02/2005 - 02/08/2007
ATLAS SECURITIES, LLC (HUNTINGTON BEACH CA)
CA
05/02/2001 - 12/07/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
11/19/1993 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
OR
03/31/1993 - 11/19/1993
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
CA
06/28/1991 - 03/26/1993
ATLAS SECURITIES, INC. (SAN LEANDRO CA)
IA
Issued 04/01/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/01/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/21/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/14/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/21/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/1993
Series 7 - General Securities Representative Examination
BC
Issued 06/26/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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