Neil I. Kobrin
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 Ira Kobrin was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1986. Neil had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2015 - February 22, 2021
CETERA INVESTMENT ADVISERS LLC
July 6, 2015 - February 22, 2021
CETERA INVESTMENT SERVICES LLC
February 26, 2013 - July 7, 2015
WELLS FARGO CLEARING SERVICES, LLC
February 25, 2013 - July 7, 2015
WELLS FARGO CLEARING SERVICES, LLC
February 18, 2010 - February 21, 2013
EDWARD JONES
February 12, 2010 - February 21, 2013
EDWARD JONES
January 21, 2010 - February 1, 2010
BB&T INVESTMENT SERVICES, INC.
January 4, 2010 - February 1, 2010
BB&T INVESTMENT SERVICES, INC.
May 29, 2007 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
May 10, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 1, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 14, 1998 - August 14, 2001
PRIME CHARTER LTD.
October 17, 1996 - April 29, 1998
DUKE & CO., INC.
November 2, 1993 - October 14, 1996
GRUNTAL & CO., L.L.C.
August 5, 1988 - November 17, 1993
LEHMAN BROTHERS INC.
September 4, 1986 - August 16, 1988
JANNEY MONTGOMERY SCOTT LLC
February 19, 1986 - August 29, 1986
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
