Neil S. Henning

CETERA INVESTMENT ADVISERS

Wilmington, NC 28403

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CRD#: 1248700

Professional summary

Neil Scott Henning is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wilmington, North Carolina and CETERA WEALTH SERVICES, LLC located in Wilmington, North Carolina.

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 6 firms and has passed the Series 63, SIE, Series 62, Series 22 and Series 6 exams.

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 Scott Henning's CRS (Customer Relationship Summary).

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

January 6, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2002 Eastwood Rd. Suite 305, Wilmington, NC 28403

RIA

CRD#: 105644

Wilmington, NC

Current

January 6, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2002 Eastwood Rd. Suite 305, Wilmington, NC 28403

CRD#: 13572

Wilmington, NC

Past

July 29, 2002 - January 5, 2026

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

NUTLEY, NJ

Past

July 12, 2002 - January 5, 2026

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

NUTLEY, NJ

Past

January 18, 1991 - July 12, 2002

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

Past

May 9, 1990 - January 18, 1991

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

May 3, 1984 - April 5, 1990

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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
(1/6/2026)

Delaware
(1/6/2026)

Florida
(1/6/2026)

Massachusetts
(1/6/2026)

Michigan
(1/6/2026)

New Jersey
(1/6/2026)

New York
(1/6/2026)

IAR

North Carolina
(1/6/2026)

North Carolina
(1/8/2026)

Pennsylvania
(1/6/2026)

South Carolina
(1/6/2026)

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

Series 63

Date: 6/11/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 11/21/1990

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 8/13/1990

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 5/1/1984

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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 S. Henning

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Scott Henning's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

LINCOLN INVESTMENT

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CITISTREET EQUITIES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/11/1990

SIE

Date: 10/1/2018

Series 62

Date: 11/21/1990

Series 22

Date: 8/13/1990

Series 6

Date: 5/1/1984

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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