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NEIL J KIRK
NEIL J. KIRK, Neil J Kirk, Neil Jamison Kirk
CRD#: 1769313
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 190 SOUND BEACH AVE
OLD GREENWICH, CT 06870
Registration History
199019952000200520102015202020252 FIRMS2018 - 2023 (4 years)2 FIRMS2023 - Present (2 years)BOTR GLOBAL TRADING LLC (CRD# 138116)2012 - 2017 (4 years)BCOWEN AND COMPANY (CRD# 7616)2011 - 2011 (<1 year)BBARCLAYS CAPITAL INC. (CRD# 19714)2010 - 2011 (1 year)BFOX-PITT KELTON COCHRAN CARONI... (CRD# 10485)2009 - 2009 (<1 year)BUBS SECURITIES LLC (CRD# 7654)2000 - 2009 (9 years)BSANDLER, O'NEILL & PARTNERS, L.P. (CRD# 23328)1998 - 2000 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1994 - 1998 (4 years)BSMITH BARNEY INC. (CRD# 7059)1991 - 1994 (3 years)BLEHMAN BROTHERS INC. (CRD# 7506)1987 - 1991 (3 years)
Disclosure(s)
View By:
2/26/1992
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
California 1/3/2023

B
Maine 7/18/2023

B
Connecticut 1/3/2023

B
New York 1/3/2023

IA
Connecticut 1/3/2023

B
Virginia 1/10/2024

B
Florida 1/16/2024

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

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
WELLS FARGO ADVISORS (CRD#:19616)
190 SOUND BEACH AVE, OLD GREENWICH, CT 06870
Registered with this firm since 1/3/2023

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
190 SOUND BEACH AVE, OLD GREENWICH, CT 06870
Registered with this firm since 1/3/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/14/2018 - 01/05/2023 EDWARD JONES (CRD#:250) WESTON, CT
B
10/22/2018 - 01/05/2023 EDWARD JONES (CRD#:250) WESTON, CT
B
04/17/2012 - 01/18/2017 OTR GLOBAL TRADING LLC (CRD#:138116) PURCHASE, NY
B
04/14/2011 - 10/19/2011 COWEN AND COMPANY (CRD#:7616) NEW YORK, NY
B
02/09/2010 - 02/02/2011 BARCLAYS CAPITAL INC. (CRD#:19714) NEW YORK, NY
B
05/20/2009 - 12/01/2009 FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC (CRD#:10485) NEW YORK, NY
B
05/09/2000 - 06/02/2009 UBS SECURITIES LLC (CRD#:7654) STAMFORD, CT
B
08/26/1998 - 05/02/2000 SANDLER, O'NEILL & PARTNERS, L.P. (CRD#:23328) NEW YORK, NY
B
07/14/1994 - 08/25/1998 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
05/24/1991 - 07/07/1994 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
11/25/1987 - 06/13/1991 LEHMAN BROTHERS INC. (CRD#:7506) 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.