Brett C. Neal

LINCOLN CAPITAL

Lincoln, NE 68516

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CRD#: 2092816

Professional summary

Brett C Neal, who also goes by Brett Neal, is a registered financial advisor currently at LINCOLN CAPITAL, LLC located in Lincoln, Nebraska and MUTUAL SECURITIES, INC. located in Lincoln, Nebraska.

Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Brett has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brett Neal

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 Brett C Neal'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®

None

Experience

Current

September 19, 2013 - Present

LINCOLN CAPITAL, LLC

Office #1: 6003 Old Cheney Rd Suite 350, Lincoln, NE 68516

RIA

CRD#: 168307

Lincoln, NE

Current

October 22, 2013 - Present

MUTUAL SECURITIES, INC.

Office #1: 6003 Old Cheney Road Suite 350, Lincoln, NE 68516

CRD#: 13092

Lincoln, NE

Past

July 29, 2005 - October 21, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

LINCOLN, NE

Past

July 15, 2005 - October 21, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

LINCOLN, NE

Past

July 31, 1997 - July 27, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

LINCOLN, NE

Past

July 31, 1993 - July 27, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 14, 1990 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

LINCOLN CAPITAL, LLC

CRD#: 168307 / SEC#: 801-78526

RIA

Registered Investment Advisory firm - (9/18/2013 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.

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

IAR

Nebraska
(10/18/2013)

Nebraska
(10/22/2013)

IAR

Texas
(9/19/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/5/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/17/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/22/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/12/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 10/8/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

LINCOLN CAPITAL, LLC

CRD#: 168307 / SEC#: 801-78526

RIA

Registered Investment Advisory firm - (9/18/2013 Approved)

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Contact information

Main Address

6003 Old Cheney Rd Suite 350, Lincoln, NE 68516

Mailing Address

Phone number

(402) 483-1400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FIRM BROCHURE (3/9/2026)

FORM ADV PART 2A APPENDIX 1 - WRAP BROCHURE (3/9/2026)

Regulatory assets under management

Total Number of Accounts	1,266
AUM (Assets Under Management)	$ 844,751,520

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

Brett C. Neal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett C Neal's CRS (Customer Relationship Summary).

Certified licenses

Experience

LINCOLN CAPITAL, LLC

MUTUAL SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

LINCOLN CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/1992

Series 63

Date: 9/17/1990

SIE

Date: 10/1/2018

Series 3

Date: 10/22/1990

Series 7

Date: 9/12/1990

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 10/8/1998

FINRA

Current Firm

LINCOLN CAPITAL, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LINCOLN CAPITAL, LLC

TRUST BUT VERIFY

Contact information

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