Michael David Neben | Financial Professional | Lincoln, Nebraska | THE PATRIOT FINANCIAL GROUP, LLC

Professional summary

Michael David Neben is a registered financial advisor currently at THE PATRIOT FINANCIAL GROUP, LLC located in Lincoln, Nebraska.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Michael has worked at 6 firms and has passed the Series 65, Series 63 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.

Unified Retirement Specialists, 11422 Miracle Hills Dr., Suite 510 Omaha, NE 68154 Pres./CEO, Insurance broker and service of traditional products through various carriers, non-investment related, start date 10/2018, 50% of time Neben Financial, LLC 11422 Miracle Hills Dr., Suite 510 Omaha, NE 68154 Investment advisor representative, investment related, start date 10/2018, 25% of time Unified Legacy Advisors, 11422 Miracle Hills Dr., Suite 510 Omaha, NE 68154 Pres./CEO, DBA for advisory business, Investment related, start date 08/2014, 25% of time American Financial Education Alliance (AFEA), 349 Copperfield Blvd NE STE-L #106 Concord NC 28025, Instructor and Conducting educational classes, Non-investment related, start date 06/2023, 8% of time American Senior Benefits; Agent; Not Investment Related; 9850 Nicholas St Suite 200 Omaha NE 68114; Medicare/Health Insurance Agency; Responsibilities: Medicare Sales; Start date: 2025-06-23; 0 Hours per month devoted to business during trading hours; 0 Hours per month devoted to business outside trading hours; 1 Percent of total yearly compensation expected to be derived from the business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Neben's CRS (Customer Relationship Summary).

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

November 17, 2022 - Present

THE PATRIOT FINANCIAL GROUP, LLC

Office #1: 9240 Andermatt Drive Suite 2, Lincoln, NE 68526Office #2: 17002 Marcy Street Suite 120, Omaha, NE 68526

RIA

CRD#: 172470

Lincoln, NE

Past

November 15, 2012 - May 22, 2014

MERCAP SECURITIES, LLC

BD

CRD#: 156607

ATLANTA, GA

Past

July 5, 2007 - October 31, 2012

FIRST HEARTLAND CAPITAL, INC.

BD

CRD#: 32460

LINCOLN, NE

Past

June 23, 2003 - July 3, 2007

SECURIAN FINANCIAL SERVICES, INC.

BD

CRD#: 15296

LINCOLN, NE

Past

November 15, 2001 - May 19, 2003

FIRST HEARTLAND CAPITAL, INC.

BD

CRD#: 32460

LAKE ST. LOUIS, MO

Past

September 22, 2000 - November 9, 2001

PRINCIPAL SECURITIES, INC.

BD

CRD#: 1137

DES MOINES, IA

Past

August 5, 1998 - September 12, 2000

FIRST HEARTLAND CAPITAL, INC.

BD

CRD#: 32460

LAKE ST. LOUIS, MO

Past

March 3, 1998 - August 5, 1998

PRINCIPAL SECURITIES, INC.

BD

CRD#: 1137

DES MOINES, IA

Past

January 25, 1994 - February 19, 1998

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TP

THE PATRIOT FINANCIAL GROUP, LLC

CRD#: 172470 / SEC#: 801-80245

RIA

Registered Investment Advisory firm - (9/9/2014 Approved)

Rhode Island

Registered Investment Advisory firm - (7/23/2015 Terminated)

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).

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

Nebraska
(11/17/2022)

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

IAR

Series 65

Date: 9/6/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 2/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 6

Date: 1/17/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TP

THE PATRIOT FINANCIAL GROUP, LLC

CRD#: 172470 / SEC#: 801-80245

RIA

Registered Investment Advisory firm - (9/9/2014 Approved)

Rhode Island

Registered Investment Advisory firm - (7/23/2015 Terminated)

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

55 West Street Suite 201, Walpole, MA 02081

Mailing Address

Phone number

(508) 251-6100

Established

Firm type

Fiscal year end

# of Employees

62

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PATRIOT FORM ADV2A (DISCLOSURE BROCHURE) APPENDIX (WRAP FEE BROCHURE) (3/18/2025)

Regulatory assets under management

Total Number of Accounts	7,135
AUM (Assets Under Management)	$ 2,405,488,420

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

Michael D. Neben

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Neben's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERCAP SECURITIES, LLC

FIRST HEARTLAND CAPITAL, INC.

SECURIAN FINANCIAL SERVICES, INC.

FIRST HEARTLAND CAPITAL, INC.

PRINCIPAL SECURITIES, INC.

FIRST HEARTLAND CAPITAL, INC.

PRINCIPAL SECURITIES, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

THE PATRIOT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2022

Series 63

Date: 2/7/1994

Series 6

Date: 1/17/1994

Current Firm

THE PATRIOT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE PATRIOT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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