Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sara? Claim Your ProfileSara Neil is a financial advisor with over 25 years of experience in the financial services industry. Sara currently works at J.P. Morgan Securities LLC and is registered in several states including Arizona, Colorado, New York, Ohio and Texas. Previously, Sara has worked at various financial institutions, including Chase Investment Services Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Investment Services, Inc., Countrywide Investment Services, Inc., SunAmerica Securities, Inc., Charles Schwab & Co., Inc., and Vanguard Marketing Corporation. Sara has passed several industry exams, including the Series 6, 7, 9, 10, 24, 26, 52, 53, 63, and 66. Sara provides financial planning and portfolio management services to individual and business clients.
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
AZ
06/25/2014 - Present
J.p. Morgan Securities LLC (PHOENIX AZ)
AZ
09/27/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (PHOENIX AZ)
CA
10/23/2009 - 08/20/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
CA
03/17/2009 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (WESTLAKE VILLAGE CA)
AZ
11/01/2005 - 03/23/2009
COUNTRYWIDE INVESTMENT SERVICES, INC. (CHANDLER AZ)
AZ
06/18/2003 - 10/20/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
TX
08/18/2000 - 02/07/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
PA
08/17/1995 - 07/07/2000
VANGUARD MARKETING CORPORATION (MALVERN PA)
BOTH
Issued 05/11/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/18/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/11/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/14/2006
Series 24 - General Securities Principal Examination
BC
Issued 02/09/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/27/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/10/1998
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1997
Series 7 - General Securities Representative Examination
BC
Issued 08/14/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX 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
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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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