Neil E. Vonfeldt

MHA FINANCIAL CORP

MELBOURNE, FL

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CRD#: 2451760

Professional summary

Neil Edward Vonfeldt is a registered financial advisor currently at MHA FINANCIAL CORP located in Melbourne, Florida and FOUR POINTS CAPITAL PARTNERS LLC located in Buffalo, New York.

Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Neil has worked at 9 firms and has passed the Series 65, Series 63, SIE, 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.

(1) Dynamic Advisors Inc., Melbourne, FL; Investment-related; Started 10/2004; Commissions received from sale of individual and group health insurance, Medicare, and Part D plans, Property & Casualty and as a Public Claims Adjuster.; 26 hrs/month during trading. (2) MHA Financial Corp., Westwood, MA; Investment-related; Started 3/2005; Investment advisor representative; 1 hour/week during trading. (3) Four Points Insurance Agency LLC, New York, NY; Investment-related; Started 1/2019; variable insurance via FPIA and FPCP; 1 hour/month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Edward Vonfeldt'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

March 27, 2019 - Present

MHA FINANCIAL CORP

RIA

CRD#: 7462

MELBOURNE, FL

Current

January 2, 2019 - Present

FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149

Buffalo, NY

Past

March 7, 2005 - December 31, 2018

MHA FINANCIAL CORP

RIA

CRD#: 7462

Melbourne, FL

Past

October 29, 2004 - December 31, 2018

MHA FINANCIAL CORP

CRD#: 7462

MELBOURNE, FL

Past

September 10, 2002 - September 11, 2002

FREEDOM ASSET MANAGEMENT, INC.

RIA

CRD#: 109654

MELCOURNE, FL

Past

September 5, 2002 - November 8, 2004

QA3 FINANCIAL LLC

RIA

CRD#: 104957

MELBOURNE, FL

Past

September 4, 2002 - November 8, 2004

QA3 FINANCIAL CORP.

CRD#: 14754

OMAHA, NE

Past

June 28, 2002 - August 11, 2003

ASSOCIATED INVESTMENT MANAGEMENT INC

RIA

CRD#: 106774

MELBOURNE, FL

Past

February 29, 2000 - September 4, 2002

FREEDOM FINANCIAL, INC.

CRD#: 45850

OMAHA, NE

Past

December 21, 1995 - March 3, 2000

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

March 1, 1994 - April 19, 1994

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(1/2/2019)

IAR

Florida
(3/27/2019)

New York
(1/2/2019)

Texas
(2/7/2022)

Washington
(3/26/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/4/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/26/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/28/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/30/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MHA FINANCIAL CORP

CRD#: 7462 / SEC#: , 8-21836

Florida

Registered Investment Advisory firm - SEC (3/7/2005 Approved)

Maryland

Registered Investment Advisory firm - SEC (10/30/2020 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (7/6/2011 Approved)

New Jersey

Registered Investment Advisory firm - SEC (3/9/2021 Approved)

New York

Registered Investment Advisory firm - SEC (12/12/2013 Approved)

Texas

Registered Investment Advisory firm - SEC (12/9/2013 Approved)

Virginia

Registered Investment Advisory firm - SEC (10/21/2020 Terminated)

Terminated by SEC on 02/25/2019

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

55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450

Mailing Address

Phone number

(212) 257-5240

Established

Massachusetts since 05/13/1977

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HOILMAN, C WILLIAM	CCO	248217

Regulatory assets under management

Total Number of Accounts	207
AUM (Assets Under Management)	$ 85,836,784

Disclosures

Regulatory Event	1
Arbitration	1

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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Firm Stability Insights

Neil E. Vonfeldt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Edward Vonfeldt's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUR POINTS CAPITAL PARTNERS LLC

MHA FINANCIAL CORP

MHA FINANCIAL CORP

FREEDOM ASSET MANAGEMENT, INC.

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

ASSOCIATED INVESTMENT MANAGEMENT INC

FREEDOM FINANCIAL, INC.

SUMMIT BROKERAGE SERVICES, INC.

SECURITIES SERVICE NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/1996

Series 63

Date: 1/4/1995

SIE

Date: 10/1/2018

Series 7

Date: 12/26/1995

Series 6

Date: 2/28/1994

Series 24

Date: 10/30/2002

FINRA

Current Firm

MHA FINANCIAL CORP

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MHA FINANCIAL CORP

TRUST BUT VERIFY

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