Neil T. Horowitz
Professional summary
Neil Todd Horowitz, who also goes by Neil T Horowitz, Neil Horowitz, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in St. Petersburg, Florida and TRUIST INVESTMENT SERVICES, INC. located in Sarasota, Florida.
Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Neil has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Neil Todd Horowitz's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 4, 2018 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 360 Central Ave Ste 1700, St. Petersburg, FL 33701September 4, 2018 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 1777 Main St Fl 7, Sarasota, FL 34236Office #2: 360 Central Ave Fl 17, Saint Petersburg, FL 33701August 24, 2016 - July 19, 2017
TRUIST ADVISORY SERVICES, INC.
March 31, 2016 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
March 11, 2016 - July 18, 2017
TRUIST INVESTMENT SERVICES, INC.
June 8, 2015 - September 10, 2015
FIFTH THIRD SECURITIES, INC.
April 13, 2015 - September 10, 2015
FIFTH THIRD SECURITIES, INC.
October 23, 2009 - March 30, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 8, 2005 - September 15, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 13, 2001 - January 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
February 12, 2001 - January 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 14, 2000 - January 10, 2001
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/4/2018)
(10/4/2018)
(10/1/2018)
(1/27/2022)
(10/29/2018)
Exams
FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
Red Flags
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