Neil R. Collins
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 Ryan Collins, who also goes by Neil R Collins, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1991. Neil had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2012 - December 31, 2025
MARBLEHEAD CAPITAL, LLC
November 7, 2005 - September 9, 2010
INVESTORS CAPITAL CORP.
November 7, 2005 - September 9, 2010
INVESTORS CAPITAL CORP.
January 6, 2000 - October 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - October 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
February 12, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 30, 1994 - February 19, 1999
GUARANTY BROKERAGE SERVICES, INC.
December 2, 1991 - June 28, 1994
UBS FINANCIAL SERVICES INC.
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
MARBLEHEAD CAPITAL, LLC
CRD#: 155273 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 61 |
| AUM (Assets Under Management) | $ 12,550,000 |
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.
