Rutherford D. Neal

NEAL ADVISORS

Columbia, SC

Some features on this profile are disabled

CRD#: 2206394

Professional summary

Rutherford Douglas Neal JR, who also goes by R Neal, is a registered financial advisor currently at NEAL ADVISORS, LLC located in Columbia, South Carolina.

Rutherford is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Rutherford has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

R 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.

NEAL ADVISORS, LLC WHICH IS THE REGISTERED INVESTMENT ADVISOR FOR WHICH I AM FILING THIS U-4.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rutherford Douglas Neal JR'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

January 11, 2005 - Present

NEAL ADVISORS, LLC

RIA

CRD#: 148447

Columbia, SC

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

South Carolina
(1/11/2005)

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

IAR

Series 65

Date: 1/7/1992

Uniform Investment Adviser Law Examination

Current Firm

NEAL ADVISORS, LLC

NEAL ADVISORS, LLC | THE NEAL FIRM CPA PA | R. DOUGLAS NEAL, JR., CPA, P.A.

CRD#: 148447 / SEC#:

South Carolina

Registered Investment Advisory firm - (1/11/2005 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Columbia, SC

Mailing Address

Po Box 61140, Columbia, SC 29260-1140

Phone number

(803) 467-3522

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Rutherford D. Neal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rutherford Douglas Neal JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/7/1992

Current Firm

NEAL ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

NEAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors