Neil D. Snider
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Neil David Snider, who also goes by Neil D Snider, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1986. Neil had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2016 - March 2, 2026
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 19, 2016 - March 2, 2026
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 31, 2011 - March 2, 2016
OPPENHEIMER & CO. INC.
October 21, 2011 - March 2, 2016
OPPENHEIMER & CO. INC.
September 28, 2006 - September 30, 2011
VISION INVESTMENT SERVICES, INC.
September 22, 2006 - December 31, 2009
NORTHERN TRUST SECURITIES, INC.
September 21, 2006 - October 21, 2011
NORTHERN TRUST SECURITIES, INC.
May 30, 2006 - September 27, 2006
MORGAN STANLEY DW INC.
May 26, 2006 - September 27, 2006
MORGAN STANLEY DW INC.
January 1, 1998 - May 31, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1998 - May 31, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 25, 1994 - August 16, 1994
WELLS FARGO CLEARING SERVICES, LLC
June 7, 1993 - January 1, 1998
NATIONSSECURITIES
March 4, 1991 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 4, 1989 - March 6, 1991
FISCO EQUITY, INC.
September 27, 1988 - January 9, 1989
UBS FINANCIAL SERVICES INC.
January 5, 1987 - January 23, 1988
WACHOVIA SECURITIES, INC.
July 23, 1986 - January 21, 1987
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,107,860 |
| AUM (Assets Under Management) | $ 390,042,864,529 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Branch ManagerCRD#: 149018TRUST BUT VERIFY
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