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Timothy Neilson

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Poughkeepsie, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-06-30
NY RA APPROVED 2021-04-19
CT RA APPROVED 2011-01-10
  • TX RA
    APPROVED_RES
    Since 2025-06-30
  • NY RA
    APPROVED
    Since 2021-04-19
  • CT RA
    APPROVED
    Since 2011-01-10

Branch Locations

2649 South Rd, Poughkeepsie, NY 12601 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Poughkeepsie NY 10/2010 Present
Bank Of America, N.A. Poughkeepsie NY 06/2011 Present
  • 10/2010 → Present
    Merrill Lynch
    Poughkeepsie, NY
  • 06/2011 → Present
    Bank Of America, N.A.
    Poughkeepsie, NY
Previous Registrations
  • 2003-11-05 → 2005-05-02
    Keybanc Capital Markets Inc.
    Wallkill, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-12-29
S63 Uniform Securities Agent State Law Examination 2008-09-05
S66 Uniform Combined State Law Examination 2000-09-27
  • S65 Uniform Investment Adviser Law Examination
    2010-12-29
  • S63 Uniform Securities Agent State Law Examination
    2008-09-05
  • S66 Uniform Combined State Law Examination
    2000-09-27
Other Names
  • Timothy Neilson
  • Timothy Patrick Neilson
  • Timothy P Neilson

View on SEC IAPD

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MICHAEL M MATTES

Other Offices

ARAX ADVISORY PARTNERS · Poughkeepsie, NY
CHARLES SCHWAB & CO., INC. · Poughkeepsie, NY
LPL FINANCIAL LLC · POUGHKEEPSIE, NY
MORGAN STANLEY · POUGHKEEPSIE, NY
CETERA INVESTMENT ADVISERS LLC · POUGHKEEPSIE, NY
STIFEL, NICOLAUS & COMPANY, INCORPORATED · POUGHKEEPSIE, NY
NEWEDGE ADVISORS · Poughkeepsie, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · POUGHKEEPSIE, NY

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