RN
Richard H. Neubert
NETWORK 1 FINANCIAL ADVISORS
Chocowinity, NC
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CRD#: 1360736
RN
Professional summary
Richard Herbert Neubert is a registered financial advisor currently at NETWORK 1 FINANCIAL ADVISORS INC. located in Chocowinity, North Carolina and NETWORK 1 FINANCIAL SECURITIES INC. located in Red Bank, New Jersey.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 10 firms and has passed the Series 66, Series 63, SIE, 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.
OBA#1: NETWORK 1 FINANCIAL ASSURANCE, INC. 2 BRIDGE AVE STE 241 RED BANK NJ 07701. INVESTMENT RELATED. NATURE OF OBA: INDEPENDENT MULTILEVEL MARKETING WITH FOCUS BEING ON LONG TERM CARE. POSITION: AGENT. START DATE: 10-29-03. NUMBER OF HOURS PER MONTH: 10. NUMBER OF HOURS PER MONTH DURING TRADING: 10. DUTIES: SALES AND SERVICE LONG TERM CARE/LIFE. *ROSTER FINANCIAL IS MASTER AGENT FOR NETWORK 1 FINANCIAL ASSURANCE, INC.________OBA#2: AMERICAN BUSINESS 45 W 45TH STREET NEW YORK, NY 10036. INVESTMENT RELATED. NATURE OF OBA: MULTILEVEL MARKETING-WHOLE-PERMANENT-TERM LIFE PRODUCTS. POSITION: INDEPENDENT SALES ASSOCIATE. START DATE: 09-03-03. HOURS PER MONTH: 1/2 PER MONTH. HOURS PER MONTH DURING TRADING: 1/2 PER MONTH. DUTIES: SALES MULTI LEVEL MARKETING-WHOLE- PERMANENT-TERM -LIFE PRODUCTS. *SECURITY MUTUAL LIFE CO OF NY'S MASTER AGENT IS AMERICAN BUSINESS.________OBA#3: W.O. MILLER & ASSOCIATES 3717 MEADOW DRIVE ERIE PA 16506. INVESTMENT RELATED. NATURE OF OBA: MULTILEVEL MARKETING WITH FOCUS BEING ON LTC. POSITION: GENERAL AGENT. START DATE: 09-26-05. NUMBER OF HOURS PER MONTH: 10. NUMBER OF HOURS DURING TRADING: 10. DUTIES: SALES MULTI LEVEL MARKETING- FOCUS ON LONG TERM CARE . *W.O. MILLER IS MASTER AGENT FOR GENWORTH INSURANCE AND JOHN HANCOCK INSURANCE.________OBA#4: NETWORK 1 FINANCIAL ADVISORS INC. 2 BRIDGE AVE STE 241 RED BANK NJ 07701. INVESTMENT RELATED. NATURE OF OBA: MONEY MANGEMENT. POSITION: REGISTERED INVESTMENT ADVISOR/ PORTFOLIO MANAGER. START DATE: 05-29-07. NUMBER OF HOURS: 10 PER MONTH. NUMBER OF HOURS DURING TRADING: 10. DUTIES: MANAGE PORTFOLIO.________OBA #5: HABITAT FOR HUMANITY, BEAUFORT COUNTY, NC. NON-INVESTMENT RELATED. NATURE OF OBA: FUND RAISING, BUILDING. POSITION: BOARD OF DIRECTORS EXECUTIVE COMMITTEE. DUTIES: VP, EXECUTIVE COMMITTEE. START DATE: 9/1/2016. NO TIME DEVOTED DURING TRADING HOURS. 12 HOURS/MONTH DEVOTED DURING NON-TRADING HOURS.______OBA #6: Cypress Landing Marine Association (Sub-Finance Committee), 100 Marina Dr., Chocowinity, NC. Investment-related. Start date: 4/1/2024. Position: Financial Advisor. Activities: volunteer Sub-Committee Financial Advisor Private Investing for Marina Assoc. Time devoted to OBA during normal trading hours: NONE. Time devoted to OBA outside of normal trading hours: One (1) hour, quarterly. No compensation.______OBA #7: Open Door Community Center Women's Shelter, 1240 Cowell Farm Rd., Washington, NC. Not investment-related. Start date: January 2017. Position: Volunteer - Repair and Building. Activities: Fund raising, repair and building. Time devoted to OBA during normal trading hours: NONE. Time devoted to OBA outside of normal trading hours: approximately 1-3 yours, quarterly. No compensation._____OBA #8: Civic Volunteer Group "Blue Hats". Address: N/A. Start date: 2017. Position: Volunteer. Activities: Build free ADA-compliant wheelchair ramps for elderly indigent residents. Time devoted to OBA during normal trading hours: less than 2 hours, monthly. Time devoted to OBA outside of normal trading hours: less than 2 hours, quarterly when/if I take a vacation day. No compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Herbert Neubert'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®
NoneExperience
Current
May 31, 2007 - Present
NETWORK 1 FINANCIAL ADVISORS INC.
RIA
CRD#: 121239
Chocowinity, NC
Current
October 29, 2003 - Present
NETWORK 1 FINANCIAL SECURITIES INC.
Office #1: The Galleria Penthouse, Building 2 Suite 241 2 Bridge Avenue, Red Bank, NJ, 07701BD
CRD#: 13577
Red Bank, NJ
Past
October 23, 2002 - November 21, 2003
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
January 28, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
Past
November 2, 1998 - February 24, 2000
PACIFIC CONTINENTAL SECURITIES CORPORATION
BD
CRD#: 2398
BEVERLY HILLS, CA
Past
December 9, 1994 - November 5, 1998
PATTERSON TRAVIS, INC.
BD
CRD#: 16540
ENGLEWOOD, CO
Past
August 5, 1994 - November 1, 1994
WESTFIELD FINANCIAL CORPORATION
BD
CRD#: 8143
NEW YORK, NY
Past
May 24, 1988 - September 7, 1994
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
NEW YORK, NY
Past
February 2, 1987 - May 31, 1988
SHERWOOD CAPITAL, INC.
BD
CRD#: 10474
Past
July 24, 1985 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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.RR
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
RR
Illinois(1/2/2004)
RR
New Jersey(11/7/2003)
IAR
New Jersey(5/31/2007)
RR
New York(10/29/2003)
RR
North Carolina(8/5/2015)
IAR
North Carolina(10/2/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
N1
NETWORK 1 FINANCIAL ADVISORS INC.
NETWORK 1 FINANCIAL ADVISORS INC.
CRD#: 121239 / SEC#:
Colorado
Registered Investment Advisory firm - (4/18/2016 Terminated)Connecticut
Registered Investment Advisory firm - (9/29/2003 Approved)Florida
Registered Investment Advisory firm - (5/30/2003 Approved)Georgia
Registered Investment Advisory firm - (1/8/2003 Approved)Louisiana
Registered Investment Advisory firm - (8/26/2024 Approved)New Jersey
Registered Investment Advisory firm - (11/10/1998 Approved)New York
Registered Investment Advisory firm - (6/16/2003 Approved)North Carolina
Registered Investment Advisory firm - (9/15/2015 Approved)Oregon
Registered Investment Advisory firm - (11/9/2004 Approved)Pennsylvania
Registered Investment Advisory firm - (3/11/2003 Approved)Texas
Registered Investment Advisory firm - (8/31/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2 Bridge Ave Suite 241, Red Bank, NJ 07701
Mailing Address
Phone number
(732) 758-9001
Established
Firm type
Fiscal year end
# of Employees
2,411
Regulatory assets under management
| Total Number of Accounts | 80 |
| AUM (Assets Under Management) | $ 40,940,154 |
Red Flags
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