James Neaylon
Professional summary
James Neaylon, who also goes by James Neaylon III, James Neaylon, is a registered financial advisor currently at IP FINANCIAL ADVISORY SERVICES LLC located in Chicago, Illinois and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Neaylon's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 6, 2022 - Present
IP FINANCIAL ADVISORY SERVICES LLC
September 7, 2022 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210February 25, 2021 - September 14, 2022
EQUITABLE ADVISORS, LLC
January 4, 2005 - March 2, 2021
MML INVESTORS SERVICES, LLC
March 1, 1996 - March 2, 2021
MML INVESTORS SERVICES, LLC
January 7, 1987 - March 1, 1996
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/6/2022)
(9/7/2022)
Exams
FINRA
Current Firm
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
Contact information
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
Red Flags
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