Neil W. Acker
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.
Neil Wayne Acker was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1992. Neil had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2004 - January 8, 2007
PHILLIPS CAPITAL ADVISORS, INC.
June 13, 2003 - November 1, 2019
T.S. PHILLIPS INVESTMENTS, INC.
February 5, 2001 - June 16, 2003
WFG INVESTMENTS, INC.
September 18, 1992 - February 5, 2001
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PHILLIPS CAPITAL ADVISORS, INC.
CRD#: 115758 / SEC#: 801-66961
Contact information
Regulatory assets under management
| Total Number of Accounts | 646 |
| AUM (Assets Under Management) | $ 588,585,326 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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