Thomas A. Neill
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.
Thomas Allen Neill, who also goes by Thomas Neill, Tom Neill, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2020 - April 2, 2020
J.P. MORGAN SECURITIES LLC
December 23, 2019 - April 2, 2020
J.P. MORGAN SECURITIES LLC
February 28, 2018 - September 11, 2019
TD AMERITRADE, INC.
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
February 14, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
April 6, 2016 - February 26, 2018
SCOTTRADE, INC.
July 9, 2015 - August 31, 2015
LPL FINANCIAL LLC
June 29, 2015 - August 31, 2015
LPL FINANCIAL LLC
December 7, 2009 - May 12, 2015
CHARLES SCHWAB & CO., INC.
December 4, 2009 - May 12, 2015
CHARLES SCHWAB & CO., INC.
August 14, 2007 - June 30, 2009
STRATEGIC ADVISERS LLC
August 3, 2007 - October 2, 2009
FIDELITY BROKERAGE SERVICES LLC
November 30, 2006 - June 21, 2007
AMERIPRISE ADVISOR SERVICES, INC.
November 30, 2006 - June 21, 2007
AMERIPRISE ADVISOR SERVICES, INC.
January 25, 2006 - December 7, 2006
CITIGROUP GLOBAL MARKETS INC.
January 17, 2006 - December 7, 2006
CITIGROUP GLOBAL MARKETS INC.
December 14, 2005 - January 26, 2006
STRATEGIC ADVISERS LLC
December 16, 1999 - January 26, 2006
FIDELITY BROKERAGE SERVICES LLC
February 10, 1998 - December 6, 1999
WACHOVIA BROKERAGE SERVICE
September 3, 1997 - March 4, 1998
AVANTAX INVESTMENT SERVICES, INC.
July 20, 1993 - September 18, 1997
BENJAMIN SECURITIES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
