Managing Partner, The Trusted Fiduciary
Neal J. Shikes has 30 years of experience in the Financial Services Industry and an expansive network.
- Accommodating to plaintiffs and defenses on the following services: breach/allegation discovery and formulation, evidence discovery and interpretation, methodology discovery, case origination (plaintiff), expert opinion, expert witness/testimony, and cross-examination assistance.
- Testimony experience includes FINRA arbitrations
- 30 years of experience in financial services; wealth management, portfolio construction, Employer-Sponsored Retirement Plans (design & forensics), fintech, annuities, consultant to the financial services industry and the legal profession on all matters of FINRA/Suitability & ERISA/Fiduciary Duty
- Employed by global and regional financial institutions, private banks, broker-dealers, registered investment advisers, and clearing firms.
- Guest writer for financial publications, articles, blogs, and referenced by “think-tanks” and financial associations.
Areas of Expertise
- Wealth Management/Portfolio Construction
- Analytics (Modern Portfolio Theory, Benchmarking, Capital Market Assumptions)
- Financial Technology and integration (Client Relationship Management Software/Services, Financial Planning Software/Services, Reporting Software/Services, Turn-Key Asset Management Programs)
- Financial Services Products
- Retirement Plan Design & Forensics
- Regulation/Law (FINRA, ERISA, Department of Labor, Trust Law, Uniform Prudent Investment Act)
- Banking Products
- B.S., Economics, State University of New York at Fredonia
Licenses & Designations
- Previously: Series 7, 31, 63, 65, NY Life & Health
- Currently: Chartered Retirement Planning Counselor (CRPC©)