Neil Howard Haller

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

• Financial planning
• Selection of other advisers
• WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2008 → 02/2018
  Scottrade, Inc.
  St. Louis, MO
• 02/2018 → 02/2023
  Td Ameritrade, Inc.
  St Louis, MO
• 02/2018 → 06/2018
  Td Ameritrade Investment Management, Llc
  Omaha, NE
• 10/2022 → Present
  Charles Schwab & Co., Inc.
  Lone Tree, CO

Previous Registrations

• 2018-02-27 → 2022-10-14
  Td Ameritrade, Inc.
  St Louis, MO
  St. Louis, MO
• 2018-02-26 → 2018-06-14
  Td Ameritrade Investment Management, Llc
  Omaha, NE
  St Louis, MO
• 2017-07-27 → 2018-02-26
  Scottrade Investment Management
  Saint Louis, MO

Other Businesses

Name of Outside Business:Rental Real Estate; Investment Related:Yes; Address of Outside Business:St. Louis, MO; Nature of Outside Business:Rental Property; Position:Proprietor; Start Date:1/4/2002; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Own, manage and oversee rental properties.

Exams

• S66 Uniform Combined State Law Examination
  2017-07-27
• S63 Uniform Securities Agent State Law Examination
  2009-02-02