Erin J. Neil

PACIFIC WEALTH STRATEGIES GROUP

Santa Barbara, CA 93110

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CRD#: 2732161

Professional summary

Erin Jane Neil is a registered financial advisor currently at PACIFIC WEALTH STRATEGIES GROUP, INC. located in Santa Barbara, California.

Erin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Erin has worked at 8 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 24, Series 10, Series 9 and Series 4 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erin Jane Neil'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

September 14, 2007 - Present

PACIFIC WEALTH STRATEGIES GROUP, INC.

Office #1: 4141 State Street, Suite B11, Santa Barbara, CA 93110

RIA

CRD#: 144789

Santa Barbara, CA

Past

November 12, 2020 - May 2, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SANTA BARBARA, CA

Past

September 17, 2020 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SANTA BARBARA, CA

Past

May 24, 2007 - June 1, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SANTA BARBARA, CA

Past

February 28, 2007 - May 1, 2007

AFA FINANCIAL GROUP, LLC

CRD#: 127648

CALABASAS, CA

Past

September 26, 2005 - February 14, 2007

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

January 30, 2004 - August 25, 2005

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

July 31, 1999 - March 19, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 6, 1998 - August 27, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

PACIFIC WEALTH STRATEGIES GROUP, INC.

CRD#: 144789 / SEC#: 801-68311

RIA

Registered Investment Advisory firm - (9/14/2007 Approved)

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

California
(9/14/2007)

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: 8/6/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/6/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/11/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/29/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/17/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 7/18/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/16/2005

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 12/6/2004

Registered Options Principal Examination

Current Firm

PACIFIC WEALTH STRATEGIES GROUP, INC.

CRD#: 144789 / SEC#: 801-68311

RIA

Registered Investment Advisory firm - (9/14/2007 Approved)

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Contact information

Main Address

4141 State Street, Suite B11, Santa Barbara, CA 93110

Mailing Address

Phone number

(805) 966-7775

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	565
AUM (Assets Under Management)	$ 217,701,513

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

Erin J. Neil

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erin Jane Neil's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

AFA FINANCIAL GROUP, LLC

FIRST ALLIED SECURITIES, INC.

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

PACIFIC WEALTH STRATEGIES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/6/2007

Series 63

Date: 2/6/2004

Series 65

Date: 5/11/1998

SIE

Date: 10/1/2018

Series 7

Date: 1/29/2004

Series 24

Date: 11/17/2008

Series 10

Date: 7/18/2005

Series 9

Date: 6/16/2005

Series 4

Date: 12/6/2004

Current Firm

PACIFIC WEALTH STRATEGIES GROUP, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PACIFIC WEALTH STRATEGIES GROUP, INC.

TRUST BUT VERIFY

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