NE
Neil E. Elmouchi
SAGEVIEW ADVISORY GROUP
Westlake Village, CA 91361
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CRD#: 200624
NE
Professional summary
Neil Eric Elmouchi, AIF® is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Westlake Village, California and CETERA WEALTH SERVICES, LLC located in Westlake Village, California.
Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Neil has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 6, Series 1 and Series 24 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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/1973; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: SAGEVIEW ADVISORY GROUP LLC - (CRD # 126777); INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISER; START DATE: 06/2022; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: WEALTH PLANNING FOR CLIENTS; 3. NAME OF OTHER BUSINESS: PROVISORS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NETWORKING GROUP; START DATE: 10/2009; POSITION/TITLE/RELATIONSHIP: EXECUTIVE COUNCIL MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: HELPING TO PLAN NETWORK ACTIVITIES FOR MEMBERS OF OUR GROUP. PROVIDE ACCESS TO SFC'S/OUR CONFERENCE ROOM FOR MEMBERS MONTHLY MEETINGS AND BRING FOOD IN FOR MEMBERS ATTENDING THE MEETING. (COFFEE, BAGELS, ETC.) 4. NAME OF OTHER BUSINESS: THE WISE INVESTOR BOOK; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BOOK; START DATE: 01/1997; POSITION/TITLE/RELATIONSHIP: AUTHOR; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: SOMETIMES GIVE A COPY OF THE BOOK TO CLIENTS AND PROSPECTIVE CLIENTS AT NO COST; 5. NAME OF OTHER BUSINESS: NOGO STUDIOS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ONLINE VIDEO GAME; START DATE: 08/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: I COME UP WITH VIDEO GAME IDEAS AND HIRE OTHER PROGRAMERS TO DEVELOP THE SOFTWARE;
CRS (Client Relationship Summary) - RIA
Click below to view Neil Eric Elmouchi's 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®
Experience
Current
June 17, 2022 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 3027 Townsgate Road Suite 100, Westlake Village, CA 91361RIA
CRD#: 126777
Westlake Village, CA
Current
June 15, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3027 Townsgate Road, Suite 250, Westlake Village, CA 91361BD
CRD#: 13572
Westlake Village, CA
Past
February 26, 2015 - June 30, 2022
TRIAD ADVISORS LLC
BD
CRD#: 25803
Westlake Village, CA
Past
November 30, 1998 - December 22, 2022
SUMMIT FINANCIAL CONSULTANTS, INC.
RIA
CRD#: 134192
WESTLAKE VILLAGE, CA
Past
September 11, 1998 - March 9, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
WESTLAKE VILLAGE, CA
Past
August 25, 1998 - March 9, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTLAKE VILLAGE, CA
Past
March 1, 1995 - September 2, 1998
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
CHICAGO, IL
Past
March 11, 1992 - March 6, 1995
ALLIANCE ADVISORY & SECURITIES, INC.
BD
CRD#: 18835
WESTLAKE VILLAGE, CA
Past
June 13, 1991 - November 23, 1994
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
August 20, 1990 - June 28, 1991
DREHER & ASSOCIATES, INC.
BD
CRD#: 8665
OAKBROOK TERRACE, IL
Past
June 15, 1983 - July 11, 1986
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
January 31, 1982 - March 14, 1983
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
October 10, 1973 - August 1, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
Past
October 10, 1973 - August 1, 1977
OSAIC FA, INC.
BD
CRD#: 3978
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(6/15/2022)
RR
California(6/15/2022)
IAR
California(6/17/2022)
RR
Connecticut(6/15/2022)
RR
Florida(6/15/2022)
RR
Georgia(6/15/2022)
RR
Idaho(6/15/2022)
RR
Illinois(6/15/2022)
RR
Iowa(6/15/2022)
RR
Massachusetts(6/15/2022)
RR
Michigan(6/15/2022)
RR
Minnesota(6/15/2022)
RR
Nevada(6/15/2022)
RR
New Jersey(6/15/2022)
RR
New Mexico(6/15/2022)
RR
New York(6/15/2022)
RR
North Carolina(7/11/2022)
RR
Ohio(6/15/2022)
RR
South Carolina(8/31/2023)
RR
Virginia(6/15/2022)
RR
Washington(6/15/2022)
RR
Wyoming(6/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 10/4/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
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
SAGEVIEW ADVISORY GROUP, LLC
CRD#: 126777Westlake Village, CA 91361TRUST BUT VERIFY
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