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Detailed Report
JOSEPH WILLIAM NEAL
BILL NEAL, JOSEPH WILLIAM NEAL III, JOSEPH NEAL
CRD#: 4649076
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 130 HARBOUR PL DR STE 200
DAVIDSON, NC 28036
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2016 - Present (8 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2008 - 2016 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2003 - 2008 (5 years)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - 2016 (7 years)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2008 - 2009 (<1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2004 - 2008 (4 years)
License(s)

State Registrations

B
Alabama 4/23/2021
B
Nebraska 7/6/2023
B
Alaska 5/16/2024
B
Nevada 1/10/2025
B
Arizona 7/7/2023
B
New Hampshire 9/16/2016
B
California 7/7/2023
B
New Jersey 6/12/2020
B
Colorado 3/20/2019
B
New York 7/6/2023
B
Connecticut 12/6/2019
B
North Carolina 9/16/2016
B
Delaware 7/6/2023
IA
North Carolina 9/16/2016
B
Florida 9/16/2016
B
Ohio 1/14/2021
B
Georgia 8/24/2018
B
Oregon 7/7/2023
B
Illinois 7/7/2023
B
Pennsylvania 9/12/2022
B
Indiana 4/23/2021
B
Rhode Island 7/7/2023
B
Kansas 7/7/2023
B
South Carolina 9/16/2016
B
Kentucky 10/21/2020
B
Tennessee 9/16/2016
B
Louisiana 7/7/2023
B
Texas 5/22/2018
B
Maine 7/7/2023
IA
Texas 5/22/2018
B
Maryland 7/7/2023
B
Virginia 1/13/2021
B
Massachusetts 7/7/2023
B
Washington 7/7/2023
B
Michigan 7/7/2023
B
West Virginia 11/22/2016
B
Minnesota 6/3/2024
B
Wisconsin 1/13/2021
B
Mississippi 7/7/2023
B
Wyoming 7/7/2023
B
Missouri 9/22/2020

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

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)
130 HARBOUR PL DR STE 200, DAVIDSON, NC 28036
Registered with this firm since 9/16/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
130 HARBOUR PL DR STE 200, DAVIDSON, NC 28036
Registered with this firm since 9/16/2016
Previous Registration(s)
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IA
 01/02/2009 - 09/19/2016 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) HUNTERSVILLE, NC
B
 07/25/2008 - 09/19/2016 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) HUNTERSVILLE, NC
IA
 07/31/2008 - 01/02/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) HUNTERSVILLE, NC
IA
 01/15/2004 - 07/18/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNTERSVILLE, NC
B
 07/24/2003 - 07/18/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNTERSVILLE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.