Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Neal is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. William has been in the industry since 1985 and holds several licenses and certifications including Series 3, 5, 7, 9, 10, 15, 63, and 65. William has worked for a number of firms over the years, including Deutsche Bank Securities Inc., Raymond James & Associates, Inc., and Bank of America, N.A. William's current firm, Merrill Lynch, Pierce, Fenner & Smith Inc., is a large firm with over 10 billion dollars in assets under management. The firm provides a variety of services, including investment management, financial planning, and pension consulting. William is registered to provide investment advice in several states.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
FL
12/15/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Naples FL)
IL
09/06/2016 - 12/14/2017
RAYMOND JAMES & ASSOCIATES, INC. (Chicago IL)
IL
02/23/2006 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (CHICAGO IL)
IL
11/26/2002 - 03/03/2006
BEAR, STEARNS & CO. INC. (CHICAGO IL)
NJ
09/01/1999 - 11/06/2002
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
10/22/1985 - 09/10/1999
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
IA
Issued 07/25/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/19/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/24/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/03/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/1986
Series 15 - Foreign Currency Options Examination
BC
Issued 04/11/1986
Series 3 - National Commodity Futures Examination
BC
Issued 03/20/1986
Series 5 - Interest Rate Options Examination
BC
Issued 10/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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