Neal R Goby

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (9)

Series 99TOSeries 52TOSeries 57TOSIESeries 55Series 7Series 53Series 65Series 63

Registered states (53)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

25

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Charles Schwab & Co., Inc.

Firm CRD

5393

SEC number

801-29938

Assets under management

Not yet retrieved from the source record

Website

www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗

Phone

415-667-7000

Firm location

San Francisco, CA, 94105

Employment history (19)

From the source registration record · current first

• Charles Schwab & Co., Inc.Current

  Chicago, IL · IA capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  Chicago, IL · BC capacity
  start not retrieved → present
• Td Ameritrade, Inc.

  Omaha, NE · BC capacity
  Oct 13, 2022 → Nov 3, 2023
• Td Ameritrade Investment Management, LLC

  Chicago, IL · IA capacity
  Oct 13, 2022 → Sep 7, 2023
• Citigroup Global Markets Inc.

  Chicago, IL · IA capacity
  Apr 28, 2022 → Sep 28, 2022
• Citigroup Global Markets Inc.

  Chicago, IL · BC capacity
  Apr 28, 2022 → Sep 28, 2022
• Td Ameritrade, Inc.

  Chicago, IL · IA capacity
  Mar 4, 2022 → Apr 14, 2022
• Fifth Third Securities, Inc.

  Chicago, IL · IA capacity
  Aug 27, 2019 → Aug 21, 2020
• Fifth Third Securities, Inc.

  Chicago, IL · BC capacity
  Aug 27, 2019 → Aug 21, 2020
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  Chicago, IL · IA capacity
  Jun 28, 2012 → Aug 18, 2015
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  Chicago, IL · BC capacity
  Jun 28, 2012 → Aug 18, 2015
• Mesirow Financial Investment Management, Inc.

  Chicago, IL · IA capacity
  Jan 4, 2010 → Mar 28, 2012
• Mesirow Financial, Inc.

  Chicago, IL · BC capacity
  Jun 11, 2009 → Mar 28, 2012
• Mesirow Financial, Inc.

  Chicago, IL · IA capacity
  Jun 11, 2009 → Dec 31, 2009
• Cabrera Capital Markets, LLC

  Chicago, IL · BC capacity
  Feb 21, 2007 → Jun 18, 2007
• Lasalle Financial Services, Inc.

  Chicago, IL · IA capacity
  Jan 28, 2003 → Feb 20, 2007
• Lasalle Financial Services, Inc.

  Chicago, IL · BC capacity
  Jun 3, 1999 → Feb 20, 2007
• Independence One Brokerage Services, Inc.

  Farmington Hills, MI · BC capacity
  May 9, 2001 → Oct 8, 2001
• Regal Discount Securities, Inc.

  Glenview, IL · BC capacity
  Dec 18, 1998 → Jun 23, 1999

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.