Kerry R. Neils
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.
Kerry Robert Neils, CFA, who also goes by Kerry Neils, was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 2003. Kerry had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2015 - January 4, 2023
INVESTMENT MANAGEMENT GROUP
May 19, 2003 - January 2, 2015
ANNACO INVESTMENT MANAGEMENT
Primary Firm SEC Registration
INVESTMENT MANAGEMENT GROUP
CRD#: 122166 / SEC#: 801-61567
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
INVESTMENT MANAGEMENT GROUP
CRD#: 122166 / SEC#: 801-61567
Contact information
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,813 |
| AUM (Assets Under Management) | $ 5,065,457,259 |
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.
