Neil G. Mcinnis

PENSION & WEALTH MANAGEMENT ADVISORS

Waltham, MA 02453

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CRD#: 1521962

Professional summary

Neil Graham Mcinnis, CFP® is a registered financial advisor currently at PENSION & WEALTH MANAGEMENT ADVISORS located in Waltham, Massachusetts.

Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Neil has 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"?

Yes

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.

1) MCINNIS FINANCIAL & INSURANCE BROKERAGE INC; INVESTMENT RELATED; 800 SOUTH STREET SUITE 455 WALTHAM MA 02453; STATUTORY AGENT/OWNER; STARTED 07/1997; 10 HRS/MTH; 5 HRS/MTH DURING ST HOURS; SALE AND SERVICE OF LIFE INSURANCE AND DISABILITY COVERAGE. 2) PENSION & WEALTH MANAGEMENT; INVESTMENT RELATED; 800 SOUTH STREET SUITE 455 WALTHAM MA 02453; INVESTMENT ADVISER REPRESENTATIVE; STARTED 04/2001; 150 HRS/MTH; 5 HRS/MTH DURING ST HOURS; ADVISORY SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Graham Mcinnis's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2015

Experience

Current

July 11, 2020 - Present

PENSION & WEALTH MANAGEMENT ADVISORS

Office #1: 800 South Street Suite 160, Waltham, MA 02453

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.

CRD#: 23131

WALTHAM, MA

Past

January 2, 1989 - March 5, 1998

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

July 8, 1986 - August 3, 1988

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

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".

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.

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

Massachusetts
(7/28/2020)

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 65

Date: 1/18/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/27/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/2001

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/17/1989

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/25/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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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

SEC notice filing (11 States and Territories)

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 Accounts	429
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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Neil G. Mcinnis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Graham Mcinnis's CRS (Customer Relationship Summary).

Certified licenses

Experience

KASTEL CAPITAL ADVISORS, LLC

BAY COLONY ADVISORS

PENSION & WEALTH MANAGEMENT

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

NYLIFE SECURITIES LLC

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

PENSION & WEALTH MANAGEMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/18/2000

Series 63

Date: 1/27/1989

SIE

Date: 12/31/2017

Series 7

Date: 3/19/2001

Series 22

Date: 7/17/1989

Series 6

Date: 6/25/1986

Current Firm

PENSION & WEALTH MANAGEMENT ADVISORS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENSION & WEALTH MANAGEMENT ADVISORS

TRUST BUT VERIFY

Contact information

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