Neil M. Hamilton

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CRD#: 1472543

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 M Hamilton was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 1986. Neil had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

NEIL HAMILTON INSURANCE; INSURANCE SALES; INSURANCE AGENT; 175 E 1600 N, LOGAN, UTAH 84341 - 3HRS PER MONTH NONE DURING SECURITIES TRADING HOURS;START 1981; SALE OF TERM LIFE INSURANCE. ATKK, LLC; NON-INVESTMENT RELATED; 175 E 1600 N, LOGAN, UTAH 84341; REAL ESTATE; OWNER AND MANAGER; START DATE 1998; 3 HRS PER MONTH NONE DURING SECURITIES TRADING HOURS; MANAGE OWNED PROPERTY AND REAL ESTATE

Blog Corner

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

April 24, 2020 - December 31, 2024

IRON GATE GLOBAL ADVISORS

RIA

CRD#: 111177

Logan, UT

Past

September 8, 2011 - April 23, 2020

CLEARWATER WEALTH MANAGEMENT LLC

RIA

CRD#: 158613

NORTH LOGAN, UT

Past

April 26, 2001 - January 31, 2012

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LOGAN, UT

Past

January 3, 2001 - September 30, 2013

SECURITIES AMERICA, INC.

CRD#: 10205

LOGAN, UT

Past

June 3, 1997 - January 5, 2001

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

October 12, 1992 - October 22, 1992

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

April 15, 1986 - June 6, 1997

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

KANSAS CITY, MO

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".

IRON GATE GLOBAL ADVISORS

AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED | IRON GATE GLOBAL ADVISORS, LLC | IRON GATE GLOBAL ADVISORS | AMUSSEN, HUNSAKER & ASSOCIATES, LLC

CRD#: 111177 / SEC#: 801-110310

RIA

Registered Investment Advisory firm - (4/19/2017 Approved)

California

Registered Investment Advisory firm - (6/7/2017 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2017 Terminated)

Utah

Registered Investment Advisory firm - (5/8/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/17/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/14/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/13/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/14/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

IRON GATE GLOBAL ADVISORS

AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED | IRON GATE GLOBAL ADVISORS, LLC | IRON GATE GLOBAL ADVISORS | AMUSSEN, HUNSAKER & ASSOCIATES, LLC

CRD#: 111177 / SEC#: 801-110310

RIA

Registered Investment Advisory firm - (4/19/2017 Approved)

California

Registered Investment Advisory firm - (6/7/2017 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2017 Terminated)

Utah

Registered Investment Advisory firm - (5/8/2017 Terminated)

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Contact information

Main Address

960 North 400 East, North Salt Lake, UT 84054

Mailing Address

Phone number

(888) 591-0334

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IRON GATE GLOBAL ADVISORS (5/1/2025)

Regulatory assets under management

Total Number of Accounts	2,925
AUM (Assets Under Management)	$ 1,059,413,573

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/07/2025	Cover Page	Report
09/20/2023	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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Advisor Monitoring

Firm Stability Insights

Neil M. Hamilton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CLEARWATER WEALTH MANAGEMENT LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

OSAIC FS, INC.

OSAIC FS, INC.

BMA FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

IRON GATE GLOBAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 4/17/2001

Series 63

Date: 4/14/1986

Series 7

Date: 3/13/2001

Series 6

Date: 4/14/1986

Current Firm

IRON GATE GLOBAL ADVISORS

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

IRON GATE GLOBAL ADVISORS

TRUST BUT VERIFY

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