Roy Neal

GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT

Pinehurst, NC

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CRD#: 1248515

Professional summary

Roy Neal is a registered financial advisor currently at GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC. located in Pinehurst, North Carolina.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Roy has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 6 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.

Insurance licensing for independent insurance agent/investment-related/Pinehurst, NC/Less than five hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Neal'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

February 28, 2022 - Present

GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 120529

Pinehurst, NC

Past

September 13, 2021 - November 8, 2021

THURSTON SPRINGER ADVISORS

RIA

CRD#: 299201

Pinehurst, NC

Past

November 12, 2015 - November 8, 2021

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

RIA

CRD#: 8478

INDIANAPOLIS, IN

Past

November 12, 2015 - November 8, 2021

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478

INDIANAPOLIS, IN

Past

May 12, 2010 - November 12, 2015

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

CINCINNATI, OH

Past

May 31, 2005 - November 12, 2015

PRIVATE CLIENT SERVICES, LLC

RIA

CRD#: 120222

CINCINNATI, OH

Past

May 4, 2005 - May 11, 2010

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

CINCINNATI, OH

Past

May 3, 2005 - May 11, 2010

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

CINCINNATI, OH

Past

August 23, 1999 - May 11, 2005

1717 CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 4082

CINCINNATI, OH

Past

January 27, 1989 - May 11, 2005

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

March 21, 1985 - July 19, 1988

MONY SECURITIES CORPORATION

CRD#: 4386

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

Illinois
(4/8/2022)

IAR

North Carolina
(2/28/2022)

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: 11/8/1995

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/11/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/18/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC.

GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC. | N/A | MARC J. LANE INVESTMENT MANAGEMENT,INC.

CRD#: 120529 / SEC#: 801-63107

RIA

Registered Investment Advisory firm - (8/24/2012 Terminated)

Colorado

Registered Investment Advisory firm - (2/27/2024 Terminated)

Florida

Registered Investment Advisory firm - (9/22/2022 Approved)

Illinois

Registered Investment Advisory firm - (4/27/2012 Approved)

North Carolina

Registered Investment Advisory firm - (3/25/2021 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

3333 Warrenville Road Suite 200, Lisle, IL 60532

Mailing Address

Phone number

(312) 372-5000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	187
AUM (Assets Under Management)	$ 38,010,820

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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Roy Neal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Neal's CRS (Customer Relationship Summary).

Certified licenses

Experience

THURSTON SPRINGER ADVISORS

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

PRIVATE CLIENT SERVICES, LLC

PRIVATE CLIENT SERVICES, LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

1717 CAPITAL MANAGEMENT COMPANY

1717 CAPITAL MANAGEMENT COMPANY

MONY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 11/8/1995

Series 65

Date: 9/11/1995

SIE

Date: 10/1/2018

Series 6

Date: 3/18/1985

Current Firm

GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC.

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