William T. Neat
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CRD#: 2520884
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.
William Troy Neat, CFP®, who also goes by Troy Neat, W T Neat, W. Troy Neat, William T Neat, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Financial planning
Philanthropic services
Executive services/Equity comp...
Loans/credit services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
Are you a "fiduciary"?
No
Aliases
Troy Neat | W T Neat | W. Troy Neat | William T Neat
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I*39784 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UNIVERSITY OF CINCINNATI COLLEGE OF BUSINESS ALUMN INVESTMENT RELATED: N ADDRESS OF BUSINESS: CINCINNATI, OHIO 45221 NATURE OF BUSINESS: OTHER,ALUMI ASSOCIATION POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 3/1/2010 NUMBER OF HOURS DEVOTED: 15 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 5 DUTIES: FUND RAISING AND ALLOCATION OF FUNDS RAISED TO SCHOLARSHIPS AND PROGRAMS (WHERE DOLLARS ARE GOING) II. UC BLUE ASH COLLEGE DEAN'S ADVISORY BOARD, 9555 PLAINFEILD ROAD, BLUE ASH, OHIO 45236; COMMENCE DATE: 10/01/2010, 15 HRS ANNUALLY, NONE DURING TRADING HOURS; ADVISORY BOARD MEMBER; III. 1.FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: CHURCH OF THE SAVIOUR UNITED METHODIST 3.INVESTMENT RELATED: (YES OR NO) NO 4.ADDRESS OF BUSINESS: 8005 PFEIFFER RD, CINCINNATI, OHIO 45242 5.NATURE OF BUSINESS: CHARITABLE ORGANIZATION 6.YOUR POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER 7.START DATE OF RELATIONSHIP: 02/01/2012 8.NUMBER OF HOURS DEVOTED PER MONTH: 15 ANNUALLY 9.NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 10.YOUR DUTIES: MEMBER OF FINANCE COMMITTEE AND BUILDING COMMITTEE. IV I*67423 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UNIVERSITY OF CINCINNATI ALUMNI ASSOCIATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: MYERS ALUMNI CENTER, UNIVERSITY OF CINCINNATI CINCINNATI, OHIO 0 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 7/1/2013 NUMBER OF HOURS DEVOTED: 64 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 15 DUTIES: PRESIDENT, OFFICIATE BOARD MEETINGS, VI I*59779 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UC COLLEGE OF BUSINESS DEAN'S BUSINESS ADVISORY CO INVESTMENT RELATED: N ADDRESS OF BUSINESS: CINCINNATI, OHIO 45221 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 1/11/2013 NUMBER OF HOURS DEVOTED: 15 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 8 DUTIES: MEMBER OF DEAN'S BUSINESS ADVISORY COUNCIL *403544 - Bearcat DFCI Investments, LLC; Investment related Yes; Dallas, TX; Biotechnology; Partner (proprietor, partner, officer, director, employee, trustee, agent); June 2020; During business hours: 0; After business hours: 1; general partner with only voting privileges. * 311664 - University of Cincinnati Foundation; Investment related No; Cincinnati, OH; Charitable; Board Member (proprietor, partner, officer, director, employee, trustee, agent);01/2017; During business hours: 4; After business hours: 0; member of investment committe, member of retirement committee
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2003
Experience
Past
January 20, 2017 - May 13, 2025
MORGAN STANLEY
RIA
CRD#: 149777
Cincinnati, OH
Past
January 20, 2017 - May 13, 2025
MORGAN STANLEY
BD
CRD#: 149777
Cincinnati, OH
Past
February 4, 1998 - January 25, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CINCINNATI, OH
Past
September 9, 1994 - January 25, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CINCINNATI, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MORGAN STANLEY
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP
CRD#: 149777 / SEC#: 801-70103, 8-68191
RIA
Registered Investment Advisory firm - SEC (5/11/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MORGAN STANLEY
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP
CRD#: 149777 / SEC#: 801-70103, 8-68191
RIA
Registered Investment Advisory firm - SEC (5/11/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
2000 Westchester Avenue, Purchase, NY 10577-2530
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(914) 225-1000
Established
Delaware since 02/02/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
29,200
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
