NM
NM
Neil Mitchell
44 Years of Experience
Pound Ridge, NY
4 DisclosuresBroker
Neil Mitchell is a registered investment advisor at Morgan Stanley, based in Pound Ridge, NY, with 44 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
Pound Ridge, NY
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Regulatory History (4)
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Customer Dispute
April 2009Settled
Customer Dispute
October 1995Settled
Customer Dispute
January 1991Settled
Customer Dispute
April 1990Settled
Other Business Activities
Neil is involved with a trust since November 2020, spending minimal time on it outside of business hours. This activity is investment-related.
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
September 2008 - June 2009 · 9 mos
Morgan Stanley & CO. IncorporatedBroker
September 2008 - June 2009 · 9 mos
Lehman Brothers INC.
March 2008 - September 2008 · 6 mos
Lehman Brothers Kuhn Loeb IncorporatedBroker
October 1983 - June 1984 · 8 mos
Lehman Brothers INC.Broker
October 1983 - September 2008 · 24 yrs 11 mos
Prudential-Bache Securities INC.Broker
January 1982 - October 1983 · 1 yr 9 mos
State Registrations28 states
ARAZCACOCTDCDEFLGAILMAMDMNMONCNHNJNVNYOKORPATNTXUTVAWAWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.