Arlene M. Neff

A. NEFF ASSOCIATES LLC

Pittsburgh, PA

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CRD#: 1173128

Professional summary

Arlene Merle Neff is a registered financial advisor currently at A. NEFF ASSOCIATES LLC located in Pittsburgh, Pennsylvania.

Arlene is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Arlene has worked at 4 firms and has passed the Series 63, SIE and Series 7 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.

A. NEFF ASSOCIATES/INVESTMENT RELATED/ADDRESS: 416 MAPLE AVE., EDGEWOOD, PA 15218/ NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR AND FINANCIAL PLANNER/ POSITION: PRINCIPAL, SOLE PROPRIETOR/ START DATE OF BUSINESS: 11/17/1987/ APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THE BUSINESS: 25 HOURS/ APPROXIMATE NUMBER OF HOURS PER MONTH DEVOTED TO THE BUSINESS DURING SECURITIES TRADING HOURS: 25 HOURS DUTIES: EVALUATION AND ANALYSIS OF CLIENT'S CURRENT FINANCIAL CONDITION; ASSESSMENT OF CLIENT'S CURRENT AND FUTURE FINANCIAL CONDITION; PRESENTATION OF PROPOSALS TO IMPROVE CLIENT'S CURRENT AND FUTURE FINANCIAL CONDITION; PRESENTATION OF PROPOSALS TO IMPROVE CLIENT'S PROSPECTS TO ADDRESS CURRENT AND FINANCIAL NEEDS AND OBLIGATIONS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arlene Merle Neff'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®

None

Experience

Current

December 4, 2017 - Present

A. NEFF ASSOCIATES LLC

RIA

CRD#: 170488

Pittsburgh, PA

Past

May 28, 2014 - December 31, 2014

A. NEFF ASSOCIATES LLC

RIA

CRD#: 170488

PITTSBURGH, PA

Past

February 7, 2014 - November 30, 2017

DOO FINANCIAL US, INC.

CRD#: 24409

FORT WORTH, TX

Past

March 9, 2011 - February 5, 2014

ALLEGHENY INVESTMENTS, LTD.

RIA

CRD#: 7597

PITTSBURGH, PA

Past

November 17, 1987 - February 5, 2014

ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597

PITTSBURGH, PA

Past

August 23, 1983 - November 27, 1987

PARKER/HUNTER INCORPORATED

CRD#: 7324

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

Pennsylvania
(12/4/2017)

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

Series 63

Date: 8/30/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Current Firm

A. NEFF ASSOCIATES LLC

A. NEFF ASSOCIATES LLC | ARLENE M. NEFF DBA A. NEFF ASSOCIATES

CRD#: 170488 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (5/28/2014 Approved)

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Contact information

Main Address

Pittsburgh, PA

Mailing Address

P.o. Box 82617, Pittsburgh, PA 15218-2617

Phone number

(412) 371-2219

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 27,481,763

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Arlene M. Neff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arlene Merle Neff's CRS (Customer Relationship Summary).

Certified licenses

Experience

A. NEFF ASSOCIATES LLC

A. NEFF ASSOCIATES LLC

DOO FINANCIAL US, INC.

ALLEGHENY INVESTMENTS, LTD.

ALLEGHENY INVESTMENTS, LTD.

PARKER/HUNTER INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/1983

SIE

Date: 11/30/2017

Series 7

Date: 8/20/1983

Current Firm

A. NEFF ASSOCIATES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

A. NEFF ASSOCIATES LLC

TRUST BUT VERIFY

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