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NW

Neal A. Wilkinson

KELSON CAPITAL LLC
Stamford, CT 06903
Some features on this profile are disabled
CRD#: 4033875
NW

Professional summary

Neal Allen Wilkinson is a registered financial professional currently at KELSON CAPITAL LLC located in Stamford, Connecticut.

Neal is registered as a RR (Registered Representative) and started their career in finance in 2000. Neal has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neal Allen Wilkinson's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 17, 2018 - Present

KELSON CAPITAL LLC

Office #1: 2 Ravenglass Drive 2nd Floor, Stamford, CT 06903
BD
CRD#: 149477
Stamford, CT
Past

April 8, 2020 - April 19, 2021

ROBERTS & RYAN, INC.

BD
CRD#: 19456
NEW YORK, NY
Past

March 2, 2015 - December 15, 2017

ULLICO INVESTMENT COMPANY, LLC

BD
CRD#: 135195
CHICAGO, IL
Past

October 15, 2004 - August 13, 2007

OPPENHEIMER & CO. INC.

BD
CRD#: 249
CHICAGO, IL
Past

March 4, 2003 - November 8, 2004

COLUMBIA FINANCIAL CENTER INCORPORATED

BD
CRD#: 23562
PORTLAND, OR
Past

July 25, 2000 - April 10, 2001

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(4/30/2019)
RR
Maryland
(2/19/2021)
RR
New York
(7/17/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 7/19/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/2/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/20/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KC
KELSON CAPITAL LLC
GTO GROUP, LLC | KELSON CAPITAL LLC

CRD#: 149477 / SEC#: , 8-68147

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
2 Ravenglass Drive 2nd Floor, Stamford, CT 06903
Mailing Address
2 Ravenglass Drive 2nd Floor, Stamford, CT 06903
Phone number
(917) 691-8007
Established
New Jersey since 11/19/2008
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KELSON GROUP I LLCMEMBER
BEATON, DANIEL STEWARTFINOP4240769
LEDVA, DANIEL JOSEPHEXEC. REP, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER,AML SUPERVISOR4607231
RATHJEN, BRIAN ALBERTMANAGING MEMBER, PRINCIPAL2819977

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

KELSON CAPITAL LLC

CRD#: 149477Stamford, CT 06903

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