Neil K. Piper

INVEST FOR A LIFETIME

Red Bank, NJ 07701

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CRD#: 1240592

Professional summary

Neil Kenneth Piper is a registered financial advisor currently at INVEST FOR A LIFETIME, LLC located in Red Bank, New Jersey and LPL FINANCIAL LLC located in Red Bank, New Jersey.

Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Neil has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 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 - ZENITH MARKETING - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/19/2015 - INSURANCE SALES - Life and fixed annuity. 2. 02/14/2018 - Invest for a Lifetime, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 5/26/2015 - 140 Hours Per Month/120 Hours During Securities Trading - Time Spent 90%. 3. 02/14/2018 - P&D PARTNERSHIP, LLC - Not Investment Related - WESTLONG BRANCH, NJ - Real Estate Rental - PARTNER/OWNER - Start Date 12/31/09. 4. 11/3/2021 - Invest For A Lifetime, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 07/17/2021 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Invest for a Lifetime, LLC, an independent investment advisor firm. I started this business activity in 07/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV 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. 5. 12/30/2024- Ash Brokerage- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 03/01/2022- 5 Hours Per Month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Kenneth Piper'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

June 22, 2021 - Present

INVEST FOR A LIFETIME, LLC

Office #1: 165 Highway 35 Suite 1, Red Bank, NJ 07701

RIA

CRD#: 314555

Red Bank, NJ

Current

February 14, 2018 - Present

LPL FINANCIAL LLC

Office #1: 165 State Route 35 Ste 1a, Red Bank, NJ 07701

RIA

CRD#: 6413

Red Bank, NJ

Past

January 8, 2021 - January 18, 2021

THE PRIVATE CLIENT ADVISORY GROUP, LLC

RIA

CRD#: 311221

Red Bank, NJ

Past

September 4, 2018 - February 28, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

RED BANK, NJ

Past

February 21, 2018 - November 1, 2021

FORTIS GROUP ADVISORS LLC

RIA

CRD#: 290427

Red Bank, NJ

Past

February 14, 2018 - July 17, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

RED BANK, NJ

Past

October 23, 2003 - December 20, 2003

ROCKDALE FINANCIAL SERVICES, INC.

RIA

CRD#: 128829

RED BANK, NJ

Past

August 20, 2003 - February 20, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

RED BANK, NJ

Past

August 19, 2003 - February 14, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

RED BANK, NJ

Past

November 6, 2002 - September 10, 2003

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

October 11, 2002 - November 8, 2002

VESTAX SECURITIES CORPORATION

RIA

CRD#: 10332

OCEAN, NJ

Past

May 26, 1998 - November 8, 2002

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

November 16, 1988 - June 2, 1998

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

October 3, 1988 - October 25, 1988

FOCUS SECURITIES, INC.

CRD#: 15023

Past

May 29, 1987 - October 17, 1988

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

March 28, 1984 - June 8, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

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.

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

California
(2/23/2021)

Connecticut
(2/14/2018)

Delaware
(9/16/2020)

Florida
(2/14/2018)

Indiana
(8/14/2020)

New Jersey
(2/14/2018)

IAR

New Jersey
(6/22/2021)

New York
(2/14/2018)

North Carolina
(2/14/2018)

Rhode Island
(3/5/2019)

South Carolina
(2/14/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/23/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/31/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/5/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INVEST FOR A LIFETIME, LLC

CRD#: 314555 / SEC#:

New Jersey

Registered Investment Advisory firm - (6/22/2021 Approved)

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Contact information

Main Address

165 Highway 35 Suite 1, Red Bank, NJ 07701

Mailing Address

Phone number

(732) 741-7711

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	309
AUM (Assets Under Management)	$ 65,970,989

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Neil K. Piper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Kenneth Piper's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

THE PRIVATE CLIENT ADVISORY GROUP, LLC

LPL FINANCIAL LLC

FORTIS GROUP ADVISORS LLC

LPL FINANCIAL LLC

ROCKDALE FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

KIRLIN SECURITIES INC.

VESTAX SECURITIES CORPORATION

VESTAX SECURITIES CORPORATION

AMERICAN CAPITAL CORPORATION

FOCUS SECURITIES, INC.

THOMSON MCKINNON SECURITIES INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2017

Series 63

Date: 4/23/1984

SIE

Date: 10/1/2018

Series 31

Date: 1/31/1997

Series 7

Date: 2/18/1984

Series 24

Date: 8/5/1998

FINRA

Current Firm

INVEST FOR A LIFETIME, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INVEST FOR A LIFETIME, LLC

TRUST BUT VERIFY

Contact information

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