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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Neal R Goby

Advisor at CHARLES SCHWAB & CO., INC.

Chicago, IL

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Search this name across graphsid dfx:ria:03ab58f7-06ed-9b71-86b7-b071b7272545

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Jan 28, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 7, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Dec 7, 1998
First registration: Jan 28, 2003
Dual registered: yes, broker-dealer
Other names: NEAL ROBERT GOBY|NEAL R GOBY|NEAL GOBY|NEAL R GOBY|NEAL GOBY|Neal R. Goby|NEAL GOBY
IAPD individual key: 2777454

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Aug 15, 2023	n/a	yes	Chicago, IL	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 13, 2022	Sep 7, 2023	no	Chicago, IL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 28, 2022	Sep 28, 2022	no	Chicago, IL\|Chicago, IL\|Miami, FL\|Chicago, IL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Mar 4, 2022	Apr 14, 2022	no	CHICAGO, IL	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Aug 27, 2019	Aug 21, 2020	no	CHICAGO, IL\|SKOKIE, IL\|SKOKIE, IL\|LINCOLNWOOD, IL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Sep 8, 2015	Aug 27, 2019	no	Chicago, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 28, 2012	Aug 18, 2015	no	CHICAGO, IL\|NORTHBROOK, IL\|CHICAGO, IL	Previous registration
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.	Mixed wealth	Jan 4, 2010	Mar 28, 2012	no	CHICAGO, IL	Previous registration
MESIROW FINANCIAL, INC.	n/a	Jun 11, 2009	Dec 31, 2009	no	CHICAGO, IL	Previous registration
LASALLE FINANCIAL SERVICES, INC.	n/a	Jan 28, 2003	Feb 20, 2007	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Aug 15, 2023	-23	Bulk transfer	RIA to ibd
CITIGROUP GLOBAL MARKETS INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Sep 28, 2022	Oct 13, 2022	15	Firm change	Ibd to RIA
TD AMERITRADE, INC.	CITIGROUP GLOBAL MARKETS INC.	Apr 14, 2022	Apr 28, 2022	14	Firm change	Other
FIFTH THIRD SECURITIES, INC.	TD AMERITRADE, INC.	Aug 21, 2020	Mar 4, 2022	560	Firm change after gap	Other
CHARLES SCHWAB & CO., INC.	FIFTH THIRD SECURITIES, INC.	Aug 27, 2019	Aug 27, 2019	0	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHARLES SCHWAB & CO., INC.	Aug 18, 2015	Sep 8, 2015	21	Firm change	Wirehouse to ibd
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 28, 2012	Jun 28, 2012	92	Firm change	Other
MESIROW FINANCIAL, INC.	MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.	Dec 31, 2009	Jan 4, 2010	4	Firm change	Other
LASALLE FINANCIAL SERVICES, INC.	MESIROW FINANCIAL, INC.	Feb 20, 2007	Jun 11, 2009	842	Firm change after gap	Other

Relationships

Registered with (9)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Sep 8, 2015 to Aug 27, 2019factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 13, 2022 to Sep 7, 2023factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 28, 2022 to Sep 28, 2022factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Mar 4, 2022 to Apr 14, 2022factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Aug 27, 2019 to Aug 21, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 28, 2012 to Aug 18, 2015factForm ADV
→ MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 4, 2010 to Mar 28, 2012factForm ADV
→ MESIROW FINANCIAL, INC.Registered adviserregistration: previous registration
Jun 11, 2009 to Dec 31, 2009factForm ADV
→ LASALLE FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 28, 2003 to Feb 20, 2007factForm ADV

Dated events

Occurred
Sep 28, 2022
Advisor changed firm
Neal R Goby left Citigroup Global Markets Inc. for Td Ameritrade Investment Management, Llc (registered 2022-10-13)
Form ADVobserved 6 days ago
Occurred
Apr 14, 2022
Advisor changed firm
Neal R Goby left Td Ameritrade, Inc. for Citigroup Global Markets Inc. (registered 2022-04-28)
Form ADVobserved 6 days ago