Roy Neal, financial advisor Cincinnati OH
38 score

Roy Neal

CRD Number: 1248515
Current Firm: Thurston, Springer, Miller, Herd & Titak, Inc.

Roy Neal (CRD# 1248515) is an Investment Advisor Representative working at Thurston, Springer, Miller, Herd & Titak, Inc. in Cincinnati, OH and has over 21 years of experience in the finance industry.

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Company Name Location Dates Years
Thurston Springer Miller Herd & Titak, Inc. Indianapolis, IN Nov 2015 - Current < 1
Private Client Services LLC Louisville, KY May 2010 - Nov 2015 5
Private Client Services, LLC Louisville, KY May 2005 - Nov 2015 10
Woodbury Financial Services Cincinnati, OH May 2005 - May 2010 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1995
S65 NASAA Investment Advisors Law Examination Sep 1995
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Roy Neal
Phone Number: 317-581-4000
Registered State(s):
  • NC
  • OH
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States


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