John Tyler Neubauer
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
12 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- Bank of America, N.A.Jan 2023 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 2022 to now
- Fidelity InvestmentsSep 2022 to Dec 2022
- UnemployedMay 2022 to Sep 2022
- LoandepotAug 2021 to May 2022
- Charles Schwab & Co., Inc.Nov 2019 to Aug 2021
- Arizona State UniversityAug 2017 to May 2019
- Career Employment ProfessionalsAug 2017 to Sep 2017
- Solutions StaffingAug 2017 to Sep 2017
- Cellular SalesJul 2017 to Oct 2019
- MarketsourceMar 2017 to Jul 2017
- Rogue TomatoJan 2017 to Mar 2017
- Giordano'sNov 2016 to Jan 2017
- Glendale Community CollegeAug 2014 to May 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2020
- Series 66 · Uniform Combined State Law2023
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7199367
- Firm CRD
- 7691