GN
George W. Neill
CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ 85260
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CRD#: 1508585
GN
Professional summary
George Wayne Neill, CFP®, who also goes by G Wayne Neill, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA WEALTH SERVICES, LLC located in Scottsdale, Arizona.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. George has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
G Wayne Neill
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. CPA PERFORMING SOME TAX & ACCTG SRVCS, SELF-EMPLOYED SOLE-PROPRIETOR;
2. REAL ESTATE INVESTOR WITH FRIENDS IN AN LLC OR PARTNERSHIP,
NO COMPENSATION OTHER THAN % OF PROFITS BASED ON OWNERSHIP;
3. LIFE INSURANCE AGENT;
4. MIRACLE LEAGUE OF ARIZONA,
NOT INVESTMENT RELATED,
11130 E. CHOLLA, SCOTTSDALE, AZ 85259,
BASEBALL FIELD & LEAGUE FOR CHILDREN & ADULTS,
START 01/14/2015,
1HR/WK (NON-TRADING HOURS),
BOARD MEMBER;
5. NAME OF OTHER BUSINESS: G. WAYNE NEILL, CPA/PFS, CFP, PLLC;
INVESTMENT RELATED: NO;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: TAX;
START DATE: 01/01/2017;
POSITION/TITLE/RELATIONSHIP: OWNER/MEMBER;
APX NUMBER OF HOURS PER WEEK: 5 HOURS;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES;
BRIEF DESCRIPTION OF DUTIES: ENTITY CREATED FOR TAX PURPOSES.
CRS (Client Relationship Summary) - RIA
Click below to view George Wayne Neill'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: 1992
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9059 E Bahia Dr, Scottsdale, AZ 85260RIA
CRD#: 105644
SCOTTSDALE, AZ
Current
February 10, 1992 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10751 N Frank Lloyd Wright Blvd Ste 103, Scottsdale, AZ 85259BD
CRD#: 13572
Scottsdale, AZ
Past
July 2, 2002 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SCOTTSDALE, AZ
Past
January 3, 1991 - February 13, 1992
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 29, 1988 - June 2, 1989
SOUTHWEST CAPITAL GROUP, INC.
BD
CRD#: 17574
Past
November 7, 1988 - January 16, 1991
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
March 19, 1987 - January 21, 1988
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Arizona(2/10/1992)
IAR
Arizona(6/29/2023)
RR
California(1/25/1994)
RR
Colorado(1/21/2014)
RR
Georgia(10/25/2017)
RR
Illinois(4/11/1994)
RR
Kentucky(1/7/2020)
RR
Missouri(8/4/2022)
RR
Nevada(8/29/2018)
RR
North Carolina(7/7/2020)
RR
Ohio(7/3/2018)
RR
Oregon(8/9/2012)
RR
Texas(5/19/2009)
IAR
Texas(6/29/2023)
RR
Washington(1/6/2009)
RR
Wisconsin(4/26/2016)
RR
Wyoming(5/19/2009)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
