Skip to content

Neal Shikes

Managing Partner, The Trusted Fiduciary

Neal-Shikes-280

Neal J. Shikes has 30 years of experience in the Financial Services Industry and an expansive network.

Expert Testimony

  • 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

Professional Experience

  • 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

Education

  • 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©)
Scroll To Top