Neil Schraffenberger, financial advisor Denver CO

Neil Schraffenberger

CRD Number: 6190504
Current Firm: Securities America Advisors, Inc.

Neil Schraffenberger (CRD# 6190504) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Denver, CO and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Securities America, Inc. Denver, CO May 2019 - Current 2
Securities America Advisors Denver, CO May 2019 - Current 2
Reiver's Bar/grill Denver, CO Mar 2018 - Current 3
Bank Of The West Lakewood, CO Aug 2018 - Oct 2018 < 1
Bancwest Investment Services, Inc. Lakewood, CO Aug 2018 - Oct 2018 < 1
Lakewood Country Club Lakewood, CO Nov 2017 - May 2018 < 1
Stanley's Pub Cincinnati, OH Jun 2017 - Sep 2017 < 1
Unemployed - Traveling Loveland, OH Sep 2016 - Jun 2017 < 1
Axa Advisors, LLC New York, NY Feb 2014 - Sep 2016 2
Axa-advisors Cincinnati, OH May 2013 - Feb 2014 < 1
University Of Cincinnati Cincinnati, OH Sep 2009 - Nov 2013 4
Bakery Crafts West Chester, OH Jun 2012 - Aug 2012 < 1
Us Bank Arena Cincinnati, OH Jan 2012 - May 2012 < 1
Makino Inc. Mason, OH Jun 2011 - Dec 2011 < 1
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Oct 2018
S63 Uniform Securities State Law Examination May 2014
Contact Info for Neil Schraffenberger
Phone Number: 402-399-9111
Registered State(s):
  • CO
By the Numbers
  • Total Assets Under Management
    39,299
    MILLIONS
  • Total Number of Accounts
    217,546
    ACCOUNTS
  • Average Account Value
    $180,647
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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