PN
Paul A. Neri
TLG ADVISORS
Minnetonka, MN
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CRD#: 1016282
PN
Professional summary
Paul Alan Neri is a registered financial advisor currently at TLG ADVISORS, INC. located in Minnetonka, Minnesota and THE LEADERS GROUP, INC. located in Summit, New Jersey.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Paul has worked at 14 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 62, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) The Marketing Alliance Group (MN) - 4/2/2024 - 2252 Sherwood Court, Minnetonka, MN 55305; Registered Representative; Inv Rel; 160 hrs/mo; (during trading hrs) 2) Brookfield Insurance Partners - 4/1/2024 - 2252 Sherwood Court, Minnetonka, MN 55305; Brokerage Manager; fixed insurance brokerage; pd commission; Not Inv Rel; insurance business; 10 hrs/mo (during trading hrs) 3) TLG Advisors Inc - 4-2-2024 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120; IAR Rep; Inv Rel; RA business; o hrs/mo; 0 hrs/mo (during trading hrs) 4) WAYZATA PUBLIC SCHOOLS - 9/3/2024 - 13305 12th Avenue North Plymouth, MN 55441-Substitute teacher, Not Invt Rel, Education, 32 hrs/mo; 32 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view Paul Alan Neri's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 2, 2024 - Present
TLG ADVISORS, INC.
RIA
CRD#: 111052
Minnetonka, MN
Current
April 2, 2024 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
SUMMIT, NJ
Past
January 20, 2023 - September 26, 2023
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
Chanhassen, MN
Past
January 20, 2023 - September 26, 2023
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
Chanhassen, MN
Past
March 22, 2019 - December 22, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MOUND, MN
Past
March 14, 2019 - December 22, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MOUND, MN
Past
August 24, 2018 - November 13, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MINNEAPOLIS, MN
Past
April 14, 2014 - November 13, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MINNEAPOLIS, MN
Past
September 6, 2013 - April 3, 2014
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
NEWTON, MA
Past
September 21, 2011 - July 31, 2013
TRUSTMONT FINANCIAL GROUP, INC.
BD
CRD#: 18312
MILFORD, CT
Past
June 1, 2009 - October 8, 2009
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
May 29, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
STAMFORD, CT
Past
January 18, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
STAMFORD, CT
Past
April 14, 2005 - January 23, 2007
OSAIC FS, INC.
BD
CRD#: 3870
GREENWICH, CT
Past
October 11, 2001 - April 18, 2005
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
January 18, 1996 - October 17, 2001
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
September 21, 1993 - January 30, 1996
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
August 30, 1993 - September 13, 1993
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
October 31, 1981 - August 30, 1993
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(4/2/2024)
RR
Minnesota(4/2/2024)
IAR
Minnesota(4/2/2024)
RR
New Hampshire(7/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/20/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 4/25/1994
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
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Contact information
Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
Phone number
(888) 371-0013
Established
Firm type
Fiscal year end
# of Employees
280
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
