Neil T. Treger

TREGER & ASSOCIATES

LEXINGTON, VA

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CRD#: 1227755

Professional summary

Neil Thomas Treger is a registered financial advisor currently at TREGER & ASSOCIATES located in Lexington, Virginia.

Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Neil has worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 28 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Thomas Treger'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

September 23, 2002 - Present

TREGER & ASSOCIATES

RIA

CRD#: 115164

LEXINGTON, VA

Past

July 14, 2000 - April 2, 2001

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

December 9, 1992 - February 26, 2002

TOAD RUN LLC

CRD#: 30760

ORLANDO, FL

Past

June 22, 1990 - October 10, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 18, 1988 - May 29, 1990

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

August 21, 1984 - July 21, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Colorado
(2/20/2025)

IAR

Maryland
(2/2/2015)

IAR

Virginia
(9/23/2002)

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 66

Date: 5/14/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/18/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 10/29/1992

Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

TREGER & ASSOCIATES

TREGER & ASSOCIATES | TREGER & ASSOCIATES LLC

CRD#: 115164 / SEC#: 801-130767

RIA

Registered Investment Advisory firm - (9/26/2024 Terminated)

Colorado

Registered Investment Advisory firm - (2/20/2025 Approved)

Maryland

Registered Investment Advisory firm - (1/30/2015 Approved)

Virginia

Registered Investment Advisory firm - (9/26/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Denver, CO

Mailing Address

Phone number

(540) 464-1418

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	211
AUM (Assets Under Management)	$ 89,533,087

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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Neil T. Treger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Thomas Treger's CRS (Customer Relationship Summary).

Certified licenses

Experience

TREGER & ASSOCIATES

NEWBRIDGE SECURITIES CORPORATION

TOAD RUN LLC

LEHMAN BROTHERS INC.

WELLS FARGO BROKERAGE SERVICES, L.L.C.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 5/14/2001

Series 63

Date: 4/18/1988

Series 7

Date: 8/18/1984

Series 28

Date: 10/29/1992

Current Firm

TREGER & ASSOCIATES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TREGER & ASSOCIATES

TRUST BUT VERIFY

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