James Kerby Neill
Professional Summary
James Kerby Neill, who also goes by James K Neill, is a registered financial advisor currently at ASL CAPITAL MARKETS INC. located in Stamford, Connecticut. James is registered as a RR (Registered Representative) and started their career in finance in 2022. James has worked at 1 firm and has passed the Series 24 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James K Neill
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
4 years in the financial services industry
Current & Past Employments
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Current Firm
ASL CAPITAL MARKETS INC.
Contact Information
Main Address
600 Summer Street Suite 402, Stamford, CT 06901Mailing Address
600 Summer Street Suite 402, Stamford, CT 06901Phone Number
(203) 388-2940Established
Delaware since 09/20/2016Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Kerby Neill's CRS (Customer Relationship Summary).
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