Neal Kaye’s business model is focused on providing plan consulting services to Corporate Retirement Plan clients. He has an industry focus on serving plan sponsor clients with their 401(k), 403(b), and 457(b).

Working with Corporate Retirement Plan clients generally involves working with Plan Fiduciaries, Plan Administrators or various committees established by the organization/business that sponsors the retirement plan.

Neal Kaye

Neal Kaye

      President
      PIM Portfolio Manager
      Accredited Investment Fiduciary®

      Experience

      2015 to Present – Wells Fargo Advisors Financial Network
      1. NW KAYE PRIVATE INVESTMENT MANAGEMENT
      2. President
      3. PIM Portfolio Manager

      2003 to 2015 - UBS Financial Services, New Orleans, LA
      1. Vice President - Investments
      2. Senior Portfolio Manager, Portfolio Management Program

      1987 to 2003 - Merrill Lynch, Private Client Group, New Orleans, LA
      1. Vice President, Senior Financial Advisor
      2. Portfolio Manager, Personal Investment Advisory Service

      1971 to 1987 - Neal W. Kaye Incorporated, New Orleans, LA
      1. Owner, President, Chief Executive Officer

      Education
      1. MBA, Tulane University New Orleans, LA
      2. BSBA. Babson College Wellesley, MA

      Military
      1. United States Navy, Meritorious Service Medal

      Registrations
      1. Series 3, National Commodity Futures
      2. Series 7, General Securities Representative
      3. Series 24, General Securities Principal
      4. Series 63, Uniform Securities State Agent
      5. Series 65, Investment Advisor Representative

      Contact

      N. W. Kaye Private Investment Management

      Investment and Insurance Products are:

      • Not Insured by the FDIC or Any Federal Government Agency
      • Not a Deposit or Other Obligation of, or Guaranteed by, the Bank or Any Bank Affiliate
      • Subject to Investment Risks, Including Possible Loss of the Principal Amount Invested

      This information is intended for use only by residents of (AZ, FL, LA, MA, MN, MS, NJ, TX). Securities-related services may not be provided to individuals residing in any state not listed above. Please consult with the FA as s/he may not be registered in all states.

      For parties residing outside of the U.S., this information is: (i) provided for informational purposes only, (ii) not and should not be construed in any manner as an offer to participate in any investment or to buy or sell any securities or related financial instruments, and (iii) not and should not be construed in any manner as a public offering of any financial services, securities or related financial instruments. Products and services listed may not be available, or may have restrictions, depending on client country of residence.

      Investment products and services are offered through Wells Fargo Advisors Financial Network, LLC (WFAFN). Wells Fargo Advisors is the trade name used by Wells Fargo Clearing Services, LLC and WFAFN, Members SIPC, separate registered broker-dealers and non-bank affiliates of Wells Fargo & Company. Any other referenced entity is a separate entity from WFAFN.

      Insurance products are offered through nonbank insurance agency affiliates of Wells Fargo & Company and are underwritten by unaffiliated insurance companies.

      A note about Social Media: Opinions, comments and actions taken on Social Media are those of the third party and do not necessarily reflect the views of the creator of this profile or of the firm. Social Media is intended for U.S. residents only and subject to the following terms: wellsfargoadvisors.com/social.

      © 2022 Wells Fargo Clearing Services, LLC. All rights reserved.

      FINRA’s BrokerCheck Obtain more information about our firm and its financial professionals

      FINRA’s BrokerCheck Obtain more information about our firm and its financial professionalsX