Alan P. Neese

RETIREMENTOME STRATEGIES

Palm Beach Gardens, FL 33418

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CRD#: 2146103

Professional summary

Alan Paul Neese is a registered financial advisor currently at RETIREMENT INCOME STRATEGIES INC. located in Palm Beach Gardens, Florida.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Alan has worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 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) SURE FOUNDATIONS INTERNATIONAL, INC. - 4500 PGA BOULEVARD, SUITE 201, PALM BEACH GARDENS, FL 33418; PRESIDENT/INSURANCE AGENT SINCE 02/2013; FIXED INSURANCE COMMISSION ONLY; INVESTMENT RELATED ACTIVITY; 10% OF TIME SPENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Paul Neese'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®

None

Experience

Current

August 31, 2022 - Present

RETIREMENT INCOME STRATEGIES INC.

Office #1: 4500 Pga Boulevard Suite 201, Palm Beach Gardens, FL 33418

RIA

CRD#: 320737

Palm Beach Gardens, FL

Past

October 23, 2019 - August 31, 2022

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

Palm Beach Gardens, FL

Past

October 14, 2019 - August 31, 2022

KOVACK SECURITIES INC.

CRD#: 44848

Palm Beach Gardens, FL

Past

September 25, 2007 - October 29, 2019

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

PALM BEACH GARDENS, FL

Past

June 5, 2002 - October 29, 2019

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

PALM BEACH GARDENS, FL

Past

May 22, 1998 - December 31, 2000

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 1, 1997 - April 23, 1998

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

February 5, 1997 - October 1, 1997

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

August 28, 1995 - December 2, 1996

PINEBRIDGE SECURITIES LLC

CRD#: 5967

NEW YORK, NY

Past

July 13, 1994 - June 23, 1995

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

June 4, 1991 - June 3, 1994

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

June 4, 1991 - June 3, 1994

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

Florida
(8/31/2022)

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

Series 63

Date: 4/11/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/16/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/30/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RETIREMENT INCOME STRATEGIES INC.

CRD#: 320737 / SEC#:

Florida

Registered Investment Advisory firm - (8/31/2022 Approved)

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Contact information

Main Address

4500 Pga Boulevard Suite 201, Palm Beach Gardens, FL 33418

Mailing Address

Phone number

(561) 776-6269

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	156
AUM (Assets Under Management)	$ 63,946,088

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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Firm Stability Insights

Alan P. Neese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Paul Neese's CRS (Customer Relationship Summary).

Certified licenses

Experience

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

OSAIC FS, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

PINEBRIDGE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/11/2008

Series 65

Date: 7/16/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/17/2016

Series 6

Date: 5/30/1991

Current Firm

RETIREMENT INCOME STRATEGIES INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RETIREMENT INCOME STRATEGIES INC.

TRUST BUT VERIFY

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