Timothy Neilson, financial advisor Poughkeepsie NY
73 score

Timothy Neilson

CRD Number: 1242428
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Timothy Neilson (CRD# 1242428) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Poughkeepsie, NY and has over 16 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch Poughkeepsie, NY Oct 2010 - Current 6
Unemployed Kingston, NY May 2010 - Oct 2010 < 1
Jp Morgan Chase Kingston, NY Apr 2007 - May 2010 3
Td Banknorth Woodstock, NY Apr 2005 - Nov 2007 2
Unemployed Kingston, NY Nov 2006 - Apr 2007 < 1
Td Bank Woodstock, NY Apr 2004 - Nov 2006 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 2008
S65 NASAA Investment Advisors Law Examination Dec 2010
S66 NASAA Uniform Combined State Law Examination Sep 2000
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:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Timothy Neilson
Phone Number: 800-637-7455
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • 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

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BADGES
73

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