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NF

Neil R. Finestone

Some features on this profile are disabled
CRD#: 1311303
NF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Neil Raphael Finestone, who also goes by Neil Rafhael Finestone, was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 1985. Neil had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Neil Rafhael Finestone

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) FINESTONE PARTNERS, BEVERLY HILLS, CA; INVESTMENT RELATED; INDEPENDENT RIA POSITION: CEO; START DATE: 12/2000; TIME SPENT: 160 HOURS PER MONTH / 80 HOURS DURING TRADING: DUTIES: INDEPENDENT RIA PROVIDING RIA WEALTH MANAGEMENT INCLUDING FINANCIAL PLANNING IS DONE ON A FEE BASIS AND NON RIA BUSINESS INCLUDES N/V INSURANCE AND CORPORATE BENEFITS ON COMMISSION (2) LIFE INSURANCE ANALYSTS, INC., BEVERLEY HILLS, CA; NOT INVESTMENT RELATED; START DATE: 9/2005; POSITION: CEO; TIME SPENT: 10 HOURS PER MONTH / 0 DURING TRADING HOURS; DUTIES: ANALYSTS OF INSURANCE PRODUCTS OF THE PERSON (LIFE, DISABILITY, LTC - FIXED ANNUITIES) FEES ONLY. (3) POLICY GUARD LLC, BEVERLY HILLS, CA; NOT INVESTMENT RELATED; START DATE: 10/2012; POSITION: PARTNER (MANAGING); TIME SPENT: 10 HOURS PER MONTH / 0 DURING TRADING HOURS; DUTIES: VALUATION AND EVALUATION OF LIFE INSURANCE POLICES. WE PARTNER WITH ANDERSON TAX NATIONALLY. (4) NEIL R. FINESTONE, BEVERLY HILLS, CA; NOT INVESTMENT RELATED; START DATE: 2/1984; POSITION: AGENT/BROKER; TIME SPENT: 20 HOURS PER MONTH / 10 DURING TRADING HOURS; DUTIES: NON-CALIFORNIA SALES OF LIFE, DISABILITY, LTC, GROUP BENEFITS (ALL NON VARIABLE). (5) AMERICAN MOTOR GROUP; TARZANA, CA; NOT INVESTMENT RELATED; STARTED 11/2014; PRESIDENT AND SILENT PARTNER, DO NOT TAKE ANY FEES; 2 HRS/MONTH; NO HOURS DURING TRADING. (6) LISAMAX HOLDING CORPORATION INC. NOT INVESTMENT RELATED; STARTED 7/2016; DIRECTOR/CFO; LISAMAX HOLDING CORP IS 100% OWNED BY MY FRIEND ALLEN MYERSON WHO IS A QUADRAPLEGIC. I ASSIST ALLEN WITH HIS TRANSACTIONS UNDER A LIMITED POA. I DO NOT HAVE SIGNING AUTHORITY ON ANY ACCOUNTS. (7) KINGSVIEW FURTURES LLC, GRANTS PASS, OREGON; INVESTMENT RELATED; STARTED MAY 2018; COMMODITIES SMA'S TO BROADEN AND DIVERSIFY OUR OFFERINGS; 8 HOURS/MONTH DURING TRADING (8) FOUR POINTS INSURANCE AGENCY LLC, NEW YORK, NY; INVESTMENT RELATED; STARTED JANUARY 2018; DUAL REPRESENTATIVE WITH FPIA AND FPCP, SALES OF VARIABLE LIFE INSURANCE AND VARIABLE ANNUITIES. (9) F&G STRATEGIES (FGSP), TEXAS; INVESTMENT RELATED; STARTED 6/2019; MANAGING DIRECTOR, DESIGN AND BUILD STRUCTURED PRODUCTS TO MEET THE NEEDS OF QUIB'S, PENSIONS, ENDOWMENTS, CHARITIES AND FAMILY OFFICES USING OUR D3 PROCESS; 40 HOURS/MONTH WITH SOME DURING TRADING HOURS.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 25, 2018 - June 6, 2022

FINESTONE PARTNERS

RIA
CRD#: 125608
BEVERLY HILLS, CA
Past

January 25, 2018 - June 5, 2020

FOUR POINTS CAPITAL PARTNERS LLC

BD
CRD#: 43149
Beverly Hills, CA
Past

August 25, 2016 - January 25, 2018

SGMA CAPITAL MARKETS LIMITED

BD
CRD#: 135327
Beverly Hills, CA
Past

March 25, 2010 - August 18, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
BEVERLY HILLS, CA
Past

April 15, 2003 - December 31, 2017

FINESTONE PARTNERS

RIA
CRD#: 125608
BEVERLY HILLS, CA
Past

January 27, 2003 - May 5, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
BEVERLY HILLS, CA
Past

August 27, 1996 - August 18, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
BEVERLY HILLS, CA
Past

July 26, 1985 - September 5, 1996

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

June 27, 1985 - January 3, 1989

LINCOLN NATIONAL PENSION INSURANCE COMPANY

BD
CRD#: 10293
Past

June 27, 1985 - July 6, 1989

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
Past

June 27, 1985 - July 6, 1989

OSAIC FA, INC.

BD
CRD#: 3978
Past

February 15, 1985 - July 31, 1985

LPL FINANCIAL LLC

BD
CRD#: 6413

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/27/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/16/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/6/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/28/1997
General Securities Principal Examination

Current Firm

FP
FINESTONE PARTNERS
FINESTONE PARTNERS | POLICY GUARD LLC | LIFE INSURANCE ANALYSTS, INC. | FINESTONE STRATEGY PARTNERS, INC. | FINESTONE PARTNERS, INC.

CRD#: 125608 / SEC#:

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Contact information

Main Address
9100 Wilshire Blvd. Suite 720e, Beverly Hills, CA 90212-3415
Mailing Address
Phone number
(310) 432-7010
Established
Firm type
Fiscal year end
# of Employees
4

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts112
AUM (Assets Under Management)$ 162,112,000

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.

Company Information

FINESTONE PARTNERS

CRD#: 125608

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