Neil BourgeoisCRD Number: 1403485
Current Firm: Securities America Advisors, Inc.
Neil Bourgeois (CRD# 1403485) is an Investment Advisor Representative working at Securities America Advisors, Inc. in La Vista, NE and has over 31 years of experience in the finance industry. Neil Bourgeois has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Cambridge Investment Research Advisors, Inc.
Wells Fargo Clearing Services, LLC
Mutual Of Omaha Investor Services, Inc.
|Securities America Advisors, Inc.||Lavista, NE||Jan 2009 - Current||9|
|Securities America, Inc.||Cincinnati, OH||Jan 2009 - Current||9|
|Brecek & Young Advisors, Inc.||Folsom, CA||Mar 2001 - Jan 2009||7|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1986|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management15,610MILLIONS
Total Number of Accounts105,891ACCOUNTS
Average Account Value$147,418
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)
- Publication of periodicals or newsletters
- Educational seminars/workshops
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