Neil Charles Levin | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Neil Charles Levin was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 1982. Neil had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

No

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 18, 2005 - May 7, 2021

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Boca Raton, FL

Past

August 15, 2005 - May 7, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

NEWPORT BEACH, CA

Past

February 24, 2004 - August 25, 2005

TILSON FINANCIAL GROUP INC

RIA

CRD#: 110890

BRADENTON, FL

Past

August 1, 2003 - August 15, 2005

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

BRADENTON, FL

Past

August 1, 2003 - August 15, 2005

WALNUT STREET SECURITIES, INC.

BD

CRD#: 15840

EL SEGUNDO, CA

Past

July 21, 1995 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

RIA

CRD#: 8503

WATCHUNG, NJ

Past

July 17, 1995 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

BD

CRD#: 8503

NEW YORK, NY

Past

December 10, 1990 - July 20, 1995

CETERA WEALTH SERVICES, LLC

BD

CRD#: 13572

EL SEGUNDO, CA

Past

August 20, 1984 - January 2, 1991

LEHMAN BROTHERS INC.

BD

CRD#: 7506

NEW YORK, NY

Past

November 10, 1982 - August 13, 1984

DAVID LERNER ASSOCIATES, INC.

BD

CRD#: 5397

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".

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 9/13/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 3

Date: 4/20/1987

National Commodity Futures Examination

General Industry/Product Exam

RR

Series 7

Date: 8/18/1984

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 7/31/1984

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

RR

Series 52

Date: 11/9/1982

Municipal Securities Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Neil C. Levin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

TILSON FINANCIAL GROUP INC

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

LEHMAN BROTHERS INC.

DAVID LERNER ASSOCIATES, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/1999

Series 63

Date: 9/13/1984

SIE

Date: 10/1/2018

Series 3

Date: 4/20/1987

Series 7

Date: 8/18/1984

Series 6

Date: 7/31/1984

Series 52

Date: 11/9/1982

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

TRUST BUT VERIFY

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