Neil R. Bourgeois

OSAIC WEALTH

CINCINNATI, OH 45202

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CRD#: 1403485

Professional summary

Neil Robert Bourgeois, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Cincinnati, Ohio.

Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Neil has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22 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.

***SECURITIES AMERICA ADVISORS INVESTMENT ADVISORY - IAR - INVESTMENT RELATED - START DATE: 01/2009 - LOCATED AT 212 East 3rd St. STE 100, Cincinnati, OH 45202 ***NEIL BOURGEOIS POSITION: Insurance Agent NATURE: INSURANCE AND FIXED ANNUITY SALES - AGENT - INVESTMENT RELATED - START DATE: 08/1989 - LOCATED AT212 East Third St. Suite 100 CINCINNATI, OH 45202 - 3% TIME SPENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/01/1989 ADDRESS: 212 East 3rd St, Ste 100, Cincinnati OH 45202, United States DESCRIPTION: I act as an Agent for Insurance and Fixed Annuity Sales ***QUEEN CITY CAPITAL MANAGEMENT LLC/REGISTERED INVESTMENT ADVISOR POSITION: 5% owner and solicitor NATURE: QUEEN CITY CAPITAL MANAGEMENT LLC/REGISTERED INVESTMENT ADVISOR--5% OWNER - 5% TIME SPENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/01/2011 ADDRESS: 212 East Third St Suite 100, Cincinnati OH 45202, United States DESCRIPTION: 5% owner and a solicitor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Robert Bourgeois's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Neil Robert Bourgeois'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®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 212 East 3rd St Ste 100, Cincinnati, OH 45202

RIA

CRD#: 23131

CINCINNATI, OH

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 212 East 3rd St Ste 100, Cincinnati, OH 45202

RIA

CRD#: 23131

CINCINNATI, OH

Past

January 23, 2009 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

CINCINNATI, OH

Past

January 23, 2009 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

CINCINNATI, OH

Past

October 10, 2001 - January 23, 2009

BRECEK & YOUNG ADVISORS, INC.

RIA

CRD#: 40395

CINCINNATI, OH

Past

March 12, 2001 - January 23, 2009

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

CINCINNATI, OH

Past

September 28, 1989 - March 6, 2001

DONAHUE SECURITIES, INC.

CRD#: 24330

CINCINNATI, OH

Past

April 8, 1987 - September 25, 1989

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

December 10, 1985 - May 2, 1987

VERAVEST INVESTMENTS, INC.

CRD#: 3960

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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
(6/14/2024)

Colorado
(6/14/2024)

Connecticut
(6/14/2024)

Florida
(6/14/2024)

Georgia
(6/14/2024)

Hawaii
(6/14/2024)

Illinois
(6/14/2024)

Indiana
(6/14/2024)

Kentucky
(6/14/2024)

Maine
(6/14/2024)

Maryland
(6/14/2024)

Massachusetts
(6/14/2024)

IAR

Massachusetts
(10/17/2024)

Michigan
(6/14/2024)

New York
(6/14/2024)

North Carolina
(6/14/2024)

Ohio
(6/14/2024)

IAR

Ohio
(6/14/2024)

South Carolina
(6/14/2024)

Utah
(6/14/2024)

West Virginia
(6/14/2024)

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: 7/15/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/1997

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/6/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/9/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	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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Advisor Monitoring

Firm Stability Insights

Neil R. Bourgeois

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Robert Bourgeois's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Neil Robert Bourgeois's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

DONAHUE SECURITIES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/15/1986

SIE

Date: 10/1/2018

Series 7

Date: 1/20/1997

Series 22

Date: 8/6/1987

Series 6

Date: 12/9/1985

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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