NW
Neil J. Werberig
MADISON AVENUE SECURITIES
Newtown, PA
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CRD#: 1077706
NW
Professional summary
Neil Jay Werberig is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Newtown, Pennsylvania and MAXIMUM ASSET STRATEGIES located in Newtown, Pennsylvania.
Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Neil has worked at 4 firms and has passed the Series 63, SIE, Series 22 and Series 6 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.
START DATE: 10/01/1987 NAME OF BUSINESS: MAXIMUM ASSET STRATEGIES, LLC POSITION: OWNER/PRESIDENT INSURANCE AGENT/PRODUCER NATURE: RIA FIRM DESCRIPTION: SALES AND SERVICE OF INSURANCE AND INVESTMENT PRODUCTS INVESTMENT RELATED: YES NUMBER OF HOURS: 160 INVESTMENT RELATED HOURS: 160 ADDRESS: 163 WOODHILL RD NEWTOWN PA 18940
NAME OF BUSINESS: UPPER MAKEFIELD TOWNSHIP PENSION COMMITTEE POSITION: VOLUNTEER NATURE: TOWNSHIP COMMITTEE INVESTMENT RELATED: YES NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 0 START DATE: 10/08/2003 ADDRESS: 1076 EAGLE RD., NEWTOWN PA 18940 DESCRIPTION: SIT IN AN ADVISORY CAPACITY AS A TOWNSHIP RESIDENT. LISTEN TO AND GIVE OPINIONS WITH RESPECT TO THE POLICE & NON-UNIFORMED EMPLOYEES PENSION PLANS. THERE IS NO SOLICITATION ON MY PART.
NAME OF BUSINESS:TREE OF LIFE MINISTRIES POSITION: PRESIDENT NATURE:TREE OF LIFE MINISTRIES-501(C)3 INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 0 START DATE: 10/01/1987 ADDRESS: 163 WOODHILL RD., NEWTOWN PA 18940 DESCRIPTION: MINISTRY CONTRIBUTIONS
CRS (Client Relationship Summary) - RIA
Click below to view Neil Jay Werberig's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Neil Jay Werberig'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
October 27, 2015 - Present
MADISON AVENUE SECURITIES, LLC
RIA
BD
CRD#: 23224
Newtown, PA
Current
June 8, 2023 - Present
MAXIMUM ASSET STRATEGIES
RIA
CRD#: 122662
Newtown, PA
Current
August 3, 2006 - Present
MADISON AVENUE SECURITIES, LLC
RIA
BD
CRD#: 23224
Newtown, PA
Past
March 17, 2003 - July 10, 2006
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
BALA CYNWYD, PA
Past
December 13, 1982 - July 19, 2006
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEWTON, PA
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
Pennsylvania(8/3/2006)
IAR
Pennsylvania(10/27/2015)
RR
Vermont(12/12/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
