Joseph K. Ney

RELIANCE INVESTING

SANDY, UT 84070

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CRD#: 2250343

Professional summary

Joseph Kent Ney is a registered financial advisor currently at RELIANCE INVESTING, INC. located in Sandy, Utah.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Joseph has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6 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.

Reliance Investing, Inc., is a Registered Investment Advisor located at 9980 So. 300 W, Suite 200, Sandy, Utah 84070. I am currently a Registered Investment Advisor Representative and have been with Reliance Investing, Inc., since July 2014. This will be considered a dual registration while I transition my business to Ney Wealth Management, Inc. This affiliation will be temporary until I can transition my clients to Ney Wealth Management, Inc., after which I will resign my position with Reliance Investing, Inc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Kent Ney'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

September 9, 2014 - Present

RELIANCE INVESTING, INC.

Office #1: 9980 South 300 West Suite 200, Sandy, UT 84070Office #2: 500 Capitol Mall 2350, Sacramento, CA 95814

RIA

CRD#: 148481

SANDY, UT

Past

January 11, 2022 - October 31, 2023

NEY WEALTH MANAGEMENT, INC.

RIA

CRD#: 317773

DRAPER, UT

Past

August 1, 2007 - September 2, 2014

NEY WEALTH MANAGEMENT

RIA

CRD#: 144437

SALT LAKE CITY, UT

Past

April 3, 2003 - July 11, 2007

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

SALT LAKE CITY, UT

Past

March 28, 2003 - August 3, 2007

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

SALT LAKE CITY, UT

Past

February 25, 2002 - April 1, 2003

LEFAVI WEALTH MANAGEMENT

RIA

CRD#: 104961

SALT LAKE CITY, UT

Past

March 12, 2001 - April 1, 2003

BRUCE A. LEFAVI SECURITIES, INC.

CRD#: 10684

SALT LAKE CITY, UT

Past

February 21, 2000 - February 28, 2001

LONDON PACIFIC SECURITIES, INC.

CRD#: 25089

SACRAMENTO, CA

Past

June 25, 1992 - November 22, 1996

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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

Utah
(9/9/2014)

IAR

Washington
(9/23/2015)

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 66

Date: 12/11/1999

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/16/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/19/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/23/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/2002

General Securities Principal Examination

Current Firm

RELIANCE INVESTING, INC.

RELIANCE INVESTING | RELIANCE INVESTING, INC.

CRD#: 148481 / SEC#:

California

Registered Investment Advisory firm - (3/29/2018 Approved)

Texas

Registered Investment Advisory firm - (9/20/2019 Terminated)

Utah

Registered Investment Advisory firm - (7/9/2013 Approved)

Washington

Registered Investment Advisory firm - (3/24/2009 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

500 Capitol Mall 2350, Sacramento, CA 95814

Mailing Address

Phone number

(916) 706-2166

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	147
AUM (Assets Under Management)	$ 29,500,000

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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Advisor Monitoring

Firm Stability Insights

Joseph K. Ney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Kent Ney's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEY WEALTH MANAGEMENT, INC.

NEY WEALTH MANAGEMENT

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

LEFAVI WEALTH MANAGEMENT

BRUCE A. LEFAVI SECURITIES, INC.

LONDON PACIFIC SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/1999

Series 65

Date: 5/16/1994

Series 63

Date: 6/16/1992

Series 7

Date: 2/19/2000

Series 6

Date: 6/23/1992

Series 24

Date: 3/26/2002

Current Firm

RELIANCE INVESTING, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RELIANCE INVESTING, INC.

TRUST BUT VERIFY

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