James R. Neel
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.
James Richard Neel, who also goes by Dick Neel, Jim Neel, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 5 firms and has passed the Series 63, Series 65, Series 7, Series 8, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2009 - August 20, 2021
AVIANCE CAPITAL PARTNERS LLC
March 26, 2009 - November 26, 2012
AVIANCE CAPITAL MANAGEMENT, LLC
January 22, 2007 - February 19, 2009
YHB INVESTMENT ADVISORS INC
October 18, 2001 - March 22, 2004
BESSEMER INVESTOR SERVICES, INC.
October 1, 2000 - October 11, 2001
BROWN BROTHERS HARRIMAN & CO.
Primary Firm SEC Registration
AVIANCE CAPITAL PARTNERS LLC
CRD#: 146597 / SEC#: 801-68979
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/1/2000
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AVIANCE CAPITAL PARTNERS LLC
CRD#: 146597 / SEC#: 801-68979
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 968 |
| AUM (Assets Under Management) | $ 971,012,034 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 09/24/2024 | ||
| 10/26/2023 | ||
| 01/03/2023 |
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.
