Brent R. Neis

PLUS GROUP WEALTH ADVISORS

Belgium, WI 53004

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CRD#: 2867316

Professional summary

Brent Robert Neis is a registered financial advisor currently at PLUS GROUP WEALTH ADVISORS, LLC located in Belgium, Wisconsin.

Brent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Brent has worked at 6 firms and has passed the Series 65, Series 63, SIE 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.

Brent Neis, Sole Proprietor; Investment Related; Belgium, WI; Insurance Agent; Fixed Insurance Sales; Less than 5% of time spent; Started 09/2000.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Robert Neis'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

July 29, 2019 - Present

PLUS GROUP WEALTH ADVISORS, LLC

Office #1: 680 Main Street, Belgium, WI 53004

RIA

CRD#: 300714

Belgium, WI

Past

October 13, 2016 - July 29, 2019

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

Belgium, WI

Past

November 28, 2012 - July 29, 2019

SECURITIES AMERICA, INC.

CRD#: 10205

BELGIUM, WI

Past

September 1, 2000 - December 5, 2012

EAGLE ONE INVESTMENTS, LLC

CRD#: 45254

BELGIUM, WI

Past

July 2, 1999 - September 6, 2000

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

June 26, 1997 - July 1, 1999

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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".

PLUS GROUP WEALTH ADVISORS, LLC

CRD#: 300714 / SEC#: 801-132046

RIA

Registered Investment Advisory firm - (3/4/2025 Approved)

Texas

Registered Investment Advisory firm - (3/6/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/6/2025 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

Texas
(7/27/2021)

IAR

Wisconsin
(7/29/2019)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/26/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/12/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/25/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PLUS GROUP WEALTH ADVISORS, LLC

CRD#: 300714 / SEC#: 801-132046

RIA

Registered Investment Advisory firm - (3/4/2025 Approved)

Texas

Registered Investment Advisory firm - (3/6/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/6/2025 Terminated)

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Contact information

Main Address

680 Main Street, Belgium, WI 53004

Mailing Address

Po Box 338, Belgium, WI 53004

Phone number

(262) 285-7654

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A/2B - SEC (8/27/2025)

Regulatory assets under management

Total Number of Accounts	965
AUM (Assets Under Management)	$ 137,109,871

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

Brent R. Neis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Robert Neis's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

EAGLE ONE INVESTMENTS, LLC

EQUITY SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PLUS GROUP WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/2016

Series 63

Date: 6/12/1997

SIE

Date: 10/1/2018

Series 6

Date: 6/25/1997

Current Firm

PLUS GROUP WEALTH ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PLUS GROUP WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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