NS
Neal Schulte
WAVERLY ADVISORS
Cincinnati, OH 45241
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CRD#: 1165181
NS
Professional summary
Neal Schulte, AIF®, CFP® is a registered financial advisor currently at WAVERLY ADVISORS, LLC located in Cincinnati, Ohio.
Neal is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Neal has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 22, Series 53 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. 02/14/2018 - Schulte Family Development - Not Investment Related - Cincinnati, OH - Real Estate Rental - Member - Start Date 9/1/16 - 5 Hours Per Month. 2. 02/14/2018 - SCHULTE & UHRIG CPA - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Partner - 10 Hours Per Month/5 During Securities Trading. 3. 02/14/2018 - SCHULTE & UHRIG PROPERTIES - Not Investment Related - At Reported Business Location(s) - Real Estate Rental. 4. 02/14/2018 - NINCO LLC -Not Investment Related - Cincinnati OH - Real Estate Rental - Partner - Start Date 2013 - 1 Hours Per Month. 5. 02/14/2018 - SCHULTE FINANCIAL GROUP, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - AGENT-PRODUCER - 1 Hour Per Month - Life. 6. 03/01/2018 - Schulte Financial Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 7. 03/20/2018 - Brass Tax Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 02/14/2018 - 10 Hours Per Month/0 Hours During Securities Trading - Time Spent 10% - I provide investment advisory services through Brass Tax Wealth Management, an independent investment advisor firm. I started this business activity in 02/14/2018. I expect to spend approximately 10 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8. 7/12/2018 - PORTELLI REAL ESTATE HOLDINGS, LLC - Not Investment Related - 4755 CORNELL RD BLUE ASH, OH 45242 & CINCINNATI, OH 45202 - Real Estate Rental - Start Date: 08/01/2018 - 1 Hour Per Month/0 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Neal Schulte'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®
Experience
Current
September 23, 2025 - Present
WAVERLY ADVISORS, LLC
Office #1: 4755 Cornell Rd, Cincinnati, OH 45241RIA
CRD#: 115332
Cincinnati, OH
Past
February 14, 2018 - October 6, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
BLUE ASH, OH
Past
February 14, 2018 - September 23, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
BLUE ASH, OH
Past
November 4, 2016 - October 28, 2025
BRASS TAX WEALTH MANAGEMENT
RIA
CRD#: 285249
CINCINNATI, OH
Past
August 5, 2005 - February 20, 2018
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
CINCINNATI, OH
Past
August 5, 2005 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
CINCINNATI, OH
Past
July 12, 2001 - August 16, 2005
MUTUAL SERVICE CORPORATION
RIA
CRD#: 4806
CINCINNATI, OH
Past
February 26, 2001 - August 16, 2005
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
January 1, 2001 - March 20, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
September 2, 1983 - October 24, 1985
GREAT LAKES SECURITIES INC.
BD
CRD#: 13766
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".
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 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.Highlighted states indicate IAR registrations
IAR
Ohio(9/23/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
600 University Park Place Suite 501, Birmingham, AL 35209
Mailing Address
Phone number
(205) 871-3334
Established
Firm type
Fiscal year end
# of Employees
371
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 34,313 |
| AUM (Assets Under Management) | $ 28,263,743,199 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 02/16/2024 | ||
| 06/15/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WAVERLY ADVISORS, LLC
CRD#: 115332Cincinnati, OH 45241TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
