JN
James A. Neuenschwander
OUTLOOK WEALTH ADVISORS
The Woodlands, TX 77385
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CRD#: 1507901
JN
Professional summary
James Allen Neuenschwander, CFP®, who also goes by Allen Neuenschwander, is a registered financial advisor currently at OUTLOOK WEALTH ADVISORS, LLC located in The Woodlands, Texas.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. James has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Comprehensive Financial Planni...
Estate Planning
Investment Planning
Retirement Planning
Tax Planning
Are you a "fiduciary"?
Yes
Aliases
Allen Neuenschwander
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.) CO-OWNER (WITH WIFE)OF A&S ENTERPRISES, A NON INVESTMENT RELATED WHOLESALE/RETAIL CONSUMER PRODUCTS DISTRIBUTION OF PRODUCTS AND SERVICES OFFERED BY AMWAY (FORMERLY QUIXTAR) AND MONA VIE FROM 1975 TO PRESENT. AVERAGE MONTHLY TIME DEVOTED IS 20 HOURS/MONTH IN RECRUITING, TRAINING & EDUCATION, ALMOST NONE OF WHICH IS DURING SECURITIES TRADING HOURS. 2.) ADDITIONAL OTHER BUSINESS: INDEPENDENT INSURANCE AGENT DOING BUSINESS AS OUTLOOK WEALTH ADVISORS. INSURANCE SIDE OF THE BUSINESS IS NON INVESTMENT RELATED ALTHOUGH ALL SERVICES ARE OFFERED THROUGH OUTLOOK WEALTH ADVISORS UMBRELLA. INS: LIFE, LTHC, DI, FIXED ANNUITIES. AGENT. START DATE 9/13/2011. 20HRS/MONTH DEVOTED TO ACTIVITY. 20HRS/MONTH DEVOTED TO ACTIVITY DURING TRADING HRS. 3.) Neuenschwander Properties, LLC, non-investment-related, 195 maple path place, Spring TX 77382, owner, started 9/13, business leases building space to tenants including Outlook Wealth Advisors, time spent is approximately 2 hours per month. 4.) Outlook Wealth Advisors, LLC; 250 Ed English Dr., Bldg 1 Ste A, Shenandoah, TX 77385; SEC Registered Investment Advisor; Start Date 6/29/2018; Investment Advisory Services; Investment Adviser Representative under RIA; 75% owner; Managing Director; Activities include client acquisition and service, portfolio and investment allocation decisions and marketing and operational decisions of the business; Dual Registration with GFPC for 180 days; Investment-Related; Spend 40 hours per week.
CRS (Client Relationship Summary) - RIA
Click below to view James Allen Neuenschwander'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®
CFP®
Start date: 1988
Experience
Current
June 28, 2018 - Present
OUTLOOK WEALTH ADVISORS, LLC
Office #1: 224 Ed English Dr. Suite A, The Woodlands, TX 77385RIA
CRD#: 291465
The Woodlands, TX
Past
October 3, 2011 - December 31, 2018
G.F. INVESTMENT SERVICES, LLC
BD
CRD#: 132939
Shenandoah, TX
Past
September 30, 2011 - January 10, 2019
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
SHENANDOAH, TX
Past
July 10, 2006 - September 30, 2011
SANDERS MORRIS LLC
RIA
CRD#: 20580
THE WOODLANDS, TX
Past
November 4, 2005 - December 31, 2006
SMH CAPITAL ADVISORS LLC
RIA
CRD#: 108344
HOUSTON, TX
Past
January 23, 2003 - May 18, 2006
MILLER-GREEN FINANCIAL SERVICES LLC
RIA
CRD#: 110949
HOUSTON, TX
Past
November 21, 2001 - September 30, 2011
SANDERS MORRIS LLC
BD
CRD#: 20580
THE WOODLANDS, TX
Past
June 23, 1994 - November 21, 2001
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
February 3, 1987 - June 23, 1994
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
June 12, 1986 - February 10, 1987
ISC SECURITIES, INC.
BD
CRD#: 8183
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".
OW
OUTLOOK WEALTH ADVISORS, LLC
OUTLOOK WEALTH ADVISORS, LLC
CRD#: 291465 / SEC#: 801-113512
RIA
Registered Investment Advisory firm - (6/28/2018 Approved)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.Highlighted states indicate IAR registrations
IAR
Texas(6/28/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
OW
OUTLOOK WEALTH ADVISORS, LLC
OUTLOOK WEALTH ADVISORS, LLC
CRD#: 291465 / SEC#: 801-113512
RIA
Registered Investment Advisory firm - (6/28/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
224 Ed English Dr. Suite A, The Woodlands, TX 77385
Mailing Address
Phone number
(281) 872-1515
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 570 |
| AUM (Assets Under Management) | $ 543,151,169 |
Red Flags
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Company Information
OUTLOOK WEALTH ADVISORS, LLC
CRD#: 291465The Woodlands, TX 77385TRUST BUT VERIFY
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Contact information
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