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Neil Michael Shaughnessy

CONCEPT CAPITAL MARKETS, LLC·GARDEN CITY, New York
SIE, Series 3, Series 4, Series 7, Series 24, Series 28, Series 63, Series 79TO, Series 99TOClean recordCONCEPT CAPITAL MARKETS, LLC
1010 FRANKLIN AVENUE, GARDEN CITY, NY 11530-5942CRD# 1595565Firm CRD# 153397

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Neil Michael Shaughnessy · GARDEN CITY, NY
Registration
CRD #1595565 · CONCEPT CAPITAL MARKETS, LLC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 3
Series 4
Series 7
Series 24
Series 28
Series 63
Series 79TO
Series 99TO
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
COWEN PRIME SERVICES LLC
CRD 153397 · SEC 801-72184
AUM
$359M
Regulatory assets under management
Employees
4
200 client accounts
Services offered by COWEN PRIME SERVICES LLC
Per Form ADV
Portfolio management (individuals)
Selection of other advisers
Client types served by the firm
Per Form ADV
Individuals
View all advisors at COWEN PRIME SERVICES LLC →
Introduction

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04

Frequently Asked Questions

What services does Neil Michael Shaughnessy offer?
Neil Michael Shaughnessy specializes in Investment Management, Wealth Management. Contact their office in GARDEN CITY, New York for a consultation.
What are Neil Michael Shaughnessy's credentials?
Neil Michael Shaughnessy is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Neil Michael Shaughnessy located?
Neil Michael Shaughnessy is based in GARDEN CITY, New York, working with CONCEPT CAPITAL MARKETS, LLC. Their office serves clients in the GARDEN CITY metropolitan area and surrounding communities.
How does Neil Michael Shaughnessy charge for services?
Neil Michael Shaughnessy's firm is compensated through percentage of aum, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is CONCEPT CAPITAL MARKETS, LLC?
CONCEPT CAPITAL MARKETS, LLC has approximately 4 employees and manages $359M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at CONCEPT CAPITAL MARKETS, LLC

Michael Scott Rosen
GARDEN CITY, NY
Rosemary Aruanno
GARDEN CITY, NY
Jack Dave Seibald
GARDEN CITY, NY
James Robert Simmons
NEW YORK, NY
Robert Emmett Moore
GARDEN CITY, NY
Thomas Nicholas Schirripa
GARDEN CITY, NY

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