Steven Neal, financial advisor New York NY

Steven Neal

CRD Number: 3003926
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Steven Neal (CRD# 3003926) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, NY and has over 26 years of experience in the finance industry.

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Origin Investment Advisory LLC
Company Name Location Dates Years
Bank Of America, N.a. New York, NY Sep 2016 - Current 7
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York, NY Jul 2016 - Current 7
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Jul 2016 1
Morgan Stanley Austin, TX Jun 2009 - Jul 2016 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1998
S65 NASAA Investment Advisors Law Examination Jun 2003
Contact Info for Steven Neal
Phone Number: 800-637-7455
Firm Website: https://www.merrill.com
Registered State(s):
  • NJ
  • NY
  • TX
By the Numbers
  • Total Assets Under Management
    1,271,594
    MILLIONS
  • Total Number of Accounts
    2,911,578
    ACCOUNTS
  • Average Account Value
    $436,737
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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