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NM

Neil G. Mcinnis

Some features on this profile are disabled
CRD#: 1521962
NM

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 Graham Mcinnis, CFP® was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 1986. Neil had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

What are your service offerings?
Insurance Planning
Investment Planning
Estate Planning
Comprehensive Financial Planni...
Retirement Planning
Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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®
CFP®

Certified Financial Planner

Start date: 2015

Experience

Past

July 11, 2020 - December 31, 2025

PENSION & WEALTH MANAGEMENT ADVISORS

RIA
CRD#: 309546
WALTHAM, MA
Past

July 3, 2019 - December 8, 2020

KASTEL CAPITAL ADVISORS, LLC

RIA
CRD#: 226520
Waltham, MA
Past

January 2, 2018 - July 1, 2019

BAY COLONY ADVISORS

RIA
CRD#: 152583
Waltham, MA
Past

March 2, 2006 - December 1, 2020

PENSION & WEALTH MANAGEMENT

RIA
CRD#: 139640
WALTHAM, MA
Past

October 23, 2003 - December 31, 2017

OSAIC WEALTH, INC.

RIA
CRD#: 23131
WALTHAM, MA
Past

January 5, 1998 - December 31, 2017

OSAIC WEALTH, INC.

BD
CRD#: 23131
WALTHAM, MA
Past

January 2, 1989 - March 5, 1998

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

July 8, 1986 - August 3, 1988

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496

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".
P&
PENSION & WEALTH MANAGEMENT ADVISORS
PENSION & WEALTH MANAGEMENT ADVISORS | PENSION & WEALTH MANAGEMENT ADVISORS, INC.

CRD#: 309546 / SEC#: 801-119016

RIA
Registered Investment Advisory firm - (7/6/2020 Approved)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/18/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/27/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 7/17/1989
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/25/1986
Investment Company Products/Variable Contracts Representative Examination

Current Firm

P&
PENSION & WEALTH MANAGEMENT ADVISORS
PENSION & WEALTH MANAGEMENT ADVISORS | PENSION & WEALTH MANAGEMENT ADVISORS, INC.

CRD#: 309546 / SEC#: 801-119016

RIA
Registered Investment Advisory firm - (7/6/2020 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
800 South Street Suite 160, Waltham, MA 02453
Mailing Address
Phone number
(781) 810-0800
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PENSION & WEALTH MANAGEMENT ADVISORS (4/29/2025)

Regulatory assets under management

Total Number of Accounts429
AUM (Assets Under Management)$ 452,222,623

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.

Company Information

PENSION & WEALTH MANAGEMENT ADVISORS

CRD#: 309546

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Contact information

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