Debra A. Neiman

NEIMAN & ASSOCIATES FINANCIAL SERVICES

WATERTOWN, MA

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CRD#: 2754473

Professional summary

Debra Alyse Neiman, CFP® is a registered financial advisor currently at NEIMAN & ASSOCIATES FINANCIAL SERVICES, LLC located in Watertown, Massachusetts.

Debra is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Debra has worked at 2 firms and has passed the Series 63 and Series 7 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.

Member/Manager - Pembroke Properties, LLC; Non-Investment Related, Reported Location, Office Condo Ownership, 12/2005, 1 hr/month, LLC to maintain office space of RIA and rents out suites in office.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Debra Alyse Neiman'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®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Current

November 21, 2002 - Present

NEIMAN & ASSOCIATES FINANCIAL SERVICES, LLC

RIA

CRD#: 123641

WATERTOWN, MA

Past

June 4, 2002 - December 19, 2002

CANTELLA & CO., INC.

RIA

CRD#: 13905

WAKEFIELD, MA

Past

August 29, 1996 - December 19, 2002

CANTELLA & CO., INC.

CRD#: 13905

MALDEN, MA

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

Massachusetts
(11/21/2002)

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

Series 63

Date: 8/30/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/27/1996

General Securities Representative Examination

Current Firm

NEIMAN & ASSOCIATES FINANCIAL SERVICES, LLC

CRD#: 123641 / SEC#:

Massachusetts

Registered Investment Advisory firm - (11/21/2002 Approved)

New Hampshire

Registered Investment Advisory firm - (10/6/2021 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

22 Mill Street Suite 303, Arlington, MA 02476

Mailing Address

Phone number

(781) 641-5700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	94
AUM (Assets Under Management)	$ 34,676,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Debra A. Neiman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Debra Alyse Neiman's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEIMAN & ASSOCIATES FINANCIAL SERVICES, LLC

CANTELLA & CO., INC.

CANTELLA & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/1996

Series 7

Date: 8/27/1996

Current Firm

NEIMAN & ASSOCIATES FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEIMAN & ASSOCIATES FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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