Charles W. Mcneilly

CETERA INVESTMENT ADVISERS LLC

Severna Park, MD

Some features on this profile are disabled

CRD#: 2777921

Professional summary

Charles Wilson Mcneilly, who also goes by Charles W Mcneilly, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Severna Park, Maryland and CETERA WEALTH SERVICES, LLC located in Severna Park, Maryland.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Charles has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10, Series 9, Series 14, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles W Mcneilly

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. NAME OF ENTITY:Branham Group; No; 55 ROLLING RD; REHOBOTH; DE; 19971; farmland; Owner; 9/5/1995; 0; 0; Owner 2. NAME OF ENTITY: Independent Insurance Agent; Yes; 264 OAK CT; SEVERNA PARK; MD; 21146; FIXED INSURANCE; independent insurance agent; 6/17/2014; 160; 160; SELL FIXED INSURANCE PRODUCTS 3. NAME OF ENTITY:Charles McNeilly; No; 13 HOUSTON ST; DEWEY BEACH; DE; 17971; rental home; Owner; 9/1/2002; 5; 0; rental property 4. NAME OF ENTITY:OAK COURT WEALTH MANAGEMENT; Yes; 264 OAK CT; SEVERNA PARK; MD; 21146; FINANCIAL SERVICES/DBA; OWNER/PRESIDENT; 7/7/2014; 160; 160; SELL OF FIXED INSURANCE, SECURITIES AND INVESTMENT PRODUCTS 5. NAME OF ENTITY:Services from the Heart; No; 550 M Ritchie Highway #191; Severna Park; MD; 21146; Non-Profit Organization; Board Member; 1/20/2019; 8; 2; attend meeting, assist in delivery of food, assist in packing and picking up food. Helping with fund raising events;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Wilson Mcneilly'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 13 Houston St, Dewey Beach, DE 19971

RIA

CRD#: 105644

Severna Park, MD

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Severna Park, MD

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

June 20, 2014 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Severna Park, MD

Past

June 17, 2014 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Severna Park, MD

Past

March 13, 2009 - March 14, 2014

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

BALTIMORE, MD

Past

March 13, 2009 - March 14, 2014

RBC CAPITAL MARKETS, LLC

CRD#: 31194

BALTIMORE, MD

Past

February 19, 2008 - March 13, 2009

FERRIS, BAKER WATTS, LLC

RIA

CRD#: 285

BALTIMORE, MD

Past

February 25, 2004 - March 13, 2009

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

December 4, 2003 - March 5, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 18, 2002 - April 10, 2003

ALLFIRST BROKERAGE CORPORATION

CRD#: 17531

BALTIMORE, MD

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

Arizona
(6/9/2021)

California
(6/9/2021)

Delaware
(6/9/2021)

IAR

Delaware
(12/5/2024)

District of Columbia
(6/9/2021)

Florida
(3/11/2022)

Georgia
(6/9/2021)

Louisiana
(12/6/2022)

Maryland
(6/9/2021)

IAR

Maryland
(6/29/2023)

Massachusetts
(6/9/2021)

Mississippi
(11/14/2024)

North Carolina
(7/30/2024)

Utah
(9/16/2025)

Virginia
(6/9/2021)

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 66

Date: 2/15/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/14/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/20/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/17/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/23/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/27/2008

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 14

Date: 8/22/2006

Compliance Officer Examination

Principal/Supervisory Exam

Series 27

Date: 7/13/2006

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/9/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles W. Mcneilly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Wilson Mcneilly's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

FERRIS, BAKER WATTS, LLC

FERRIS, BAKER WATTS, LLC

CITIGROUP GLOBAL MARKETS INC.

ALLFIRST BROKERAGE CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/15/2008

Series 63

Date: 10/14/2004

SIE

Date: 10/1/2018

Series 31

Date: 11/20/2008

Series 7

Date: 12/17/2002

Series 10

Date: 9/23/2008

Series 9

Date: 8/27/2008

Series 14

Date: 8/22/2006

Series 27

Date: 7/13/2006

Series 24

Date: 7/9/2004

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors