Neal Smith (CRD# 4210693) is an Investment Advisor Representative working at Cerity Partners Retirement Plan Advisors in New York, NY and has over 23 years of experience in the finance industry.
CRD# 1420183
Financial Life Focus, LLC
CRD# 2708116
Park Avenue Securities LLC
CRD# 5146297
Origin Investment Advisory LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Cerity Partners Retirement Plan Advisors LLC | Chicago, IL | Apr 2019 - Current | 5 |
| Blue Prairie Group, LLC | Chicago, IL | Aug 2018 - Mar 2019 | < 1 |
| Voya Financial | Lisle, IL | Mar 2016 - May 2018 | 2 |
| Nuveen Asset Management, LLC | Chicago, IL | Sep 2011 - Mar 2016 | 4 |
| Nuveen Investments | Chicago, IL | Sep 2006 - Mar 2016 | 9 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Nov 2000 |
| S65 | NASAA Investment Advisors Law Examination | Feb 2007 |
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- IL
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Total Assets Under Management16,218MILLIONS
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Total Number of Accounts601ACCOUNTS
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Average Account Value$26,985,333
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Pension consulting services
- Other
CA, CO, FL, IL, IN, KY, NJ, NY, OH, PA, TX, VA
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