Herbert L. Nealy
Professional summary
Herbert Lee Nealy JR, who also goes by Herb Nealy, Herbert L Nealy Jr, is a registered financial advisor currently at RMR WEALTH BUILDERS, INC. located in Bakersfield, California.
Herbert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Herbert has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Herbert Lee Nealy JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 29, 2018 - Present
RMR WEALTH BUILDERS, INC.
February 6, 2014 - February 23, 2022
CALTON & ASSOCIATES, INC.
February 6, 2014 - February 23, 2022
CALTON & ASSOCIATES, INC.
May 23, 2013 - December 23, 2013
SECURITIES AMERICA ADVISORS, INC.
May 23, 2013 - December 23, 2013
SECURITIES AMERICA, INC.
January 3, 2011 - April 10, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - April 10, 2013
WELLS FARGO CLEARING SERVICES, LLC
September 5, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 5, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 3, 2004 - September 1, 2006
BANCWEST INVESTMENT SERVICES, INC.
May 19, 2003 - April 7, 2004
CITICORP INVESTMENT SERVICES
July 8, 1997 - November 25, 2002
MORGAN STANLEY DW INC.
June 7, 1988 - November 25, 2002
MORGAN STANLEY DW INC.
October 2, 1987 - May 18, 1988
UBS FINANCIAL SERVICES INC.
July 13, 1987 - October 29, 1987
WALNUT STREET SECURITIES, INC.
Primary Firm SEC Registration
RMR WEALTH BUILDERS, INC.
CRD#: 169005 / SEC#: 801-80404
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/29/2018)
Exams
Current Firm
RMR WEALTH BUILDERS, INC.
CRD#: 169005 / SEC#: 801-80404
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,428 |
| AUM (Assets Under Management) | $ 2,199,565,329 |
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.
