Neil J. Tremblay

TWELVE POINTS WEALTH MANAGEMENT

Concord, MA 01742

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CRD#: 1559290

Professional summary

Neil Joseph Tremblay, AIF® is a registered financial advisor currently at TWELVE POINTS WEALTH MANAGEMENT located in Concord, Massachusetts.

Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Neil has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 and Series 2 exams.

Question & Answer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Joseph Tremblay'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

December 24, 2024 - Present

TWELVE POINTS WEALTH MANAGEMENT

Office #1: 9 Pond Lane Suite 3a, Concord, MA 01742

RIA

CRD#: 171107

Concord, MA

Past

July 21, 2022 - April 3, 2023

ONEDIGITAL

RIA

CRD#: 106766

Danvers, MA

Past

November 2, 2017 - October 3, 2018

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Danvers, MA

Past

May 20, 2015 - April 5, 2023

TIMESCALE FINANCIAL, INC.

RIA

CRD#: 186511

DANVERS, MA

Past

March 9, 2015 - September 8, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

DANVERS, MA

Past

January 30, 2015 - November 7, 2017

LPL FINANCIAL LLC

CRD#: 6413

DANVERS, MA

Past

July 9, 2010 - August 10, 2011

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

SAN FRANCISCO, CA

Past

February 27, 1992 - November 11, 1994

FIRST COLONIAL INVESTMENT SERVICES, INC.

CRD#: 26969

Past

October 24, 1986 - September 7, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

TWELVE POINTS WEALTH MANAGEMENT

TWELVE POINTS RETIREMENT ADVISORS | TWELVE POINTS WEALTH MANAGEMENT LLC | TWELVE POINTS WEALTH MANAGEMENT

CRD#: 171107 / SEC#: 801-108967

RIA

Registered Investment Advisory firm - (1/23/2017 Approved)

Massachusetts

Registered Investment Advisory firm - (1/26/2017 Terminated)

New Hampshire

Registered Investment Advisory firm - (2/21/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(12/24/2024)

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 66

Date: 3/2/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/9/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/30/2015

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 2/25/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 2

Date: 8/3/1995

Non-Member General Securities Examination

Current Firm

TWELVE POINTS WEALTH MANAGEMENT

TWELVE POINTS RETIREMENT ADVISORS | TWELVE POINTS WEALTH MANAGEMENT LLC | TWELVE POINTS WEALTH MANAGEMENT

CRD#: 171107 / SEC#: 801-108967

RIA

Registered Investment Advisory firm - (1/23/2017 Approved)

Massachusetts

Registered Investment Advisory firm - (1/26/2017 Terminated)

New Hampshire

Registered Investment Advisory firm - (2/21/2017 Terminated)

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Contact information

Main Address

9 Pond Lane Suite 3a, Concord, MA 01742

Mailing Address

Phone number

(978) 318-9500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A/2B (1/7/2026)

WRAP FEE BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	1,586
AUM (Assets Under Management)	$ 1,701,535,494

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/25/2025	Cover Page	Report
09/25/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Neil J. Tremblay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Joseph Tremblay's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONEDIGITAL

PURSHE KAPLAN STERLING INVESTMENTS

TIMESCALE FINANCIAL, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

FIRST COLONIAL INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

TWELVE POINTS WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/2/2015

Series 63

Date: 8/9/2010

SIE

Date: 10/1/2018

Series 7

Date: 1/30/2015

Series 3

Date: 2/25/2012

Series 2

Date: 8/3/1995

Current Firm

TWELVE POINTS WEALTH MANAGEMENT

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TWELVE POINTS WEALTH MANAGEMENT

TRUST BUT VERIFY

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