Neal Siena is a registered investment advisor, based in Valhalla, NY, with 15 years of industry experience.
Location
200 Summit Lake Drive, Suite 360, Valhalla, NY, 10595
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Neal is involved in two rental real estate businesses, 3361 29th Street LLC (since 2019) and NSJC LLC (since 2022). He spends minimal time on these investment-related activities.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
May 2025 - Present · 1 yr
Raymond James Financial Services, INC.Broker
May 2025 - Present · 1 yr
Previous Registrations
Ameriprise Financial Services, LLC
September 2020 - May 2025 · 4 yrs 8 mos
Ameriprise Financial Services, LLCBroker
September 2020 - May 2025 · 4 yrs 8 mos
Mdt Advisers, a Division of Federated Mdta LLC
October 2014 - October 2020 · 6 yrs
Federated Investment Counseling
October 2014 - October 2020 · 6 yrs
Federated Securities CORP.Broker
October 2014 - October 2020 · 6 yrs
Federated Securities CORP.
October 2014 - October 2020 · 6 yrs
Mbsc Securities Corporation
May 2013 - September 2014 · 1 yr 4 mos
Mbsc Securities CorporationBroker
February 2013 - September 2014 · 1 yr 7 mos
Franklin/templeton Distributors, INC.Broker
June 2011 - February 2013 · 1 yr 8 mos
Chase Investment Services CORP.Broker
February 2010 - June 2011 · 1 yr 4 mos
State Registrations23 states
ALAZCACOCTFLILINMAMIMNNCNHNJNYORPARISCTNTXVAWA
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.