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WILLIAM JEFFREY NEAL
JEFF NEAL, William Neal
CRD#: 1420444
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
PBIG - CHICAGO
CHICAGO, IL 60606
Registration History
1985199019952000200520102015202020252 FIRMS2002 - 2006 (3 years)2 FIRMS2006 - 2016 (10 years)2 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - Present (7 years)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)1999 - 2002 (3 years)BMORGAN STANLEY & CO., INCORPORATED (CRD# 8209)1985 - 1999 (13 years)IADONALDSON LUFKIN & JENRETTE SE... (CRD# 7560)2001 - 2002 (1 year)
Disclosure(s)
View By:
4/20/2009
Customer Dispute
Settled
7/19/2002
Customer Dispute
Settled
8/1/1992
Customer Dispute
Settled
6/1/1992
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 12/14/2017

B
Montana 10/7/2022

B
Alaska 11/5/2018

B
Nebraska 12/14/2017

B
Arizona 12/14/2017

B
Nevada 12/14/2017

B
Arkansas 12/14/2017

B
New Hampshire 12/14/2017

B
California 12/14/2017

B
New Jersey 12/14/2017

B
Colorado 12/14/2017

B
New Mexico 12/14/2017

B
Connecticut 12/14/2017

B
New York 12/14/2017

B
Delaware 12/14/2017

B
North Carolina 12/14/2017

B
District of Columbia 10/17/2022

B
North Dakota 12/14/2017

B
Florida 12/14/2017

B
Ohio 12/14/2017

IA
Florida 2/15/2024

B
Oklahoma 12/18/2017

B
Georgia 12/14/2017

B
Oregon 12/14/2017

B
Hawaii 12/14/2017

B
Pennsylvania 12/14/2017

B
Idaho 12/18/2017

B
Puerto Rico 10/14/2022

B
Illinois 12/14/2017

B
Rhode Island 12/14/2017

IA
Illinois 12/14/2017

B
South Carolina 12/15/2017

B
Indiana 12/15/2017

B
South Dakota 12/14/2017

B
Iowa 12/18/2017

B
Tennessee 12/14/2017

B
Kansas 12/14/2017

B
Texas 12/15/2017

B
Kentucky 12/14/2017

IA
Texas 12/15/2017

B
Louisiana 12/14/2017

B
Utah 12/18/2017

B
Maine 12/14/2017

B
Vermont 12/14/2017

B
Maryland 12/14/2017

B
Virgin Islands 10/11/2022

B
Massachusetts 2/7/2018

B
Virginia 12/14/2017

B
Michigan 12/14/2017

B
Washington 12/15/2017

B
Minnesota 12/14/2017

B
West Virginia 12/14/2017

B
Mississippi 12/14/2017

B
Wisconsin 12/14/2017

B
Missouri 12/21/2017

B
Wyoming 12/14/2017

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR PBIG - CHICAGO, CHICAGO, IL 60606
Naples, FL
Registered with this firm since 12/14/2017

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR PBIG - CHICAGO, CHICAGO, IL 60606
Naples, FL
Registered with this firm since 12/14/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/06/2016 - 12/14/2017 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) Chicago, IL
B
09/06/2016 - 12/14/2017 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) Chicago, IL
IA
02/24/2006 - 09/06/2016 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) CHICAGO, IL
B
02/23/2006 - 09/06/2016 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) CHICAGO, IL
IA
12/16/2002 - 03/03/2006 BEAR, STEARNS & CO. INC. (CRD#:79) CHICAGO, IL
B
11/26/2002 - 03/03/2006 BEAR, STEARNS & CO. INC. (CRD#:79) CHICAGO, IL
IA
06/26/2001 - 11/06/2002 DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) CHICAGO, IL
B
09/01/1999 - 11/06/2002 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
B
10/22/1985 - 09/10/1999 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.