Neil L. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Neil Lance Smith was a registered financial advisor .
Neil is a previously registered financial advisor and started their career in finance in 1998. Neil had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2009 - August 27, 2015
AVANTAX ADVISORY SERVICES
May 19, 2009 - August 27, 2015
AVANTAX INVESTMENT SERVICES, INC.
October 10, 2008 - May 27, 2009
LPL FINANCIAL LLC
October 6, 2008 - May 27, 2009
LPL FINANCIAL LLC
March 3, 2003 - February 13, 2009
AVANTAX ADVISORY SERVICES
January 13, 2003 - November 6, 2008
AVANTAX INVESTMENT SERVICES, INC.
October 15, 1999 - November 27, 2002
FSC SECURITIES CORPORATION
October 12, 1999 - November 27, 2002
FSC SECURITIES CORPORATION
September 28, 1998 - August 27, 1999
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
