Michael D. Neft

DUKE AND DUKE WEALTH MANAGEMENT LLC

Doylestown, PA 18902

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CRD#: 345660

Professional summary

Michael Daniel Neft, who also goes by Michael D Neft, is a registered financial advisor currently at DUKE AND DUKE WEALTH MANAGEMENT LLC located in Doylestown, Pennsylvania.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1972. Michael has worked at 13 firms and has passed the Series 65, Series 63, Series 5, Series 15, Series 1, Series 000, Series 4, Series 12 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael D Neft

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) Secure Retirement Strategies; Non-Investment related, 2525 Holicong Road, Doylestown, Pennsylvania 18902, Offering fixed insurance products, ov er 50% of Michael Neft's time is spent on this activity. 2) Michael Neft; Non-Investment Related; 2525 Holicong Road, Doylestown, Pennsylvania 18902; fixed insurance sales, over 50% of his time is spent on this activity. 3) NYSE Disciplinary Hearing Board; Investment-Related; 2525 Holicong Road, Doylestown, Pennsylvania 18902, Board Member / as needed basis, Start Date: 08/2006, Hours Dedicated - 1 hour per month (1 hour per month during trading hours), Duties: Board Member for disciplinary hearings, temporarily out of service as a board member - called upon as needed. 4) FINRA Arbitrator, Investment-Related, 525 Holicong Road, Doylestown, Pennsylvania 18902, at will employee, / dispute resolution, Start Date: 09/1991, Hours Dedicated - 1 hour per month (1 hour per month during trading hours), Duties: Dispute Resolution arbitrator - temporarily out of service.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Daniel Neft'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®

None

Experience

Current

December 1, 2017 - Present

DUKE AND DUKE WEALTH MANAGEMENT LLC

Office #1: 3359 Durham Road, Suite 100, Doylestown, PA 18902

RIA

CRD#: 290184

Doylestown, PA

Past

April 11, 2016 - August 3, 2017

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Doylestown, PA

Past

June 23, 2014 - April 8, 2016

SRS WEALTH MANAGEMENT, LLC

RIA

CRD#: 171771

DOYLESTOWN, PA

Past

September 19, 2012 - February 26, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

KING OF PRUSSIA, PA

Past

September 18, 2012 - February 26, 2013

LPL FINANCIAL LLC

CRD#: 6413

KING OF PRUSSIA, PA

Past

May 14, 2012 - September 18, 2012

CETERA WEALTH SERVICES, LLC

CRD#: 13572

KING OF PRUSSIA, PA

Past

April 20, 2012 - September 18, 2012

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

KING OF PRUSSIA, PA

Past

July 29, 2005 - December 16, 2010

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

JENKINTOWN, PA

Past

August 2, 2004 - December 16, 2010

OPPENHEIMER & CO. INC.

CRD#: 249

JENKINTOWN, PA

Past

January 7, 1998 - August 30, 2004

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

September 16, 1993 - July 25, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 31, 1993 - September 17, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 24, 1984 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Past

August 23, 1972 - February 27, 1976

BACHE & CO., INCORPORATED

CRD#: 66

Past

May 20, 1972 - October 12, 1984

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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

New Jersey
(12/5/2017)

IAR

Pennsylvania
(12/1/2017)

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: 7/30/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 2/28/1986

Interest Rate Options Examination

General Industry/Product Exam

Series 15

Date: 3/7/1983

Foreign Currency Options Examination

General Industry/Product Exam

Series 1

Date: 8/21/1972

Registered Representative Examination

General Industry/Product Exam

Series 000

Date: 5/20/1972

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/13/1977

Registered Options Principal Examination

Principal/Supervisory Exam

Series 12

Date: 6/19/1977

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 40

Date: 6/17/1976

Registered Principal Examination

Current Firm

DUKE AND DUKE WEALTH MANAGEMENT LLC

CRD#: 290184 / SEC#:

New Jersey

Registered Investment Advisory firm - (12/5/2017 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/1/2017 Approved)

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Contact information

Main Address

3359 Durham Road, Suite 100, Doylestown, PA 18902

Mailing Address

Phone number

(267) 544-0333

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	208
AUM (Assets Under Management)	$ 45,407,682

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

Michael D. Neft

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Daniel Neft's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKSTONE WEALTH ADVISORS, LLC

SRS WEALTH MANAGEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

JANNEY MONTGOMERY SCOTT LLC

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

BACHE & CO., INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/30/1992

Series 63

Date: 3/29/1989

Series 5

Date: 2/28/1986

Series 15

Date: 3/7/1983

Series 1

Date: 8/21/1972

Series 000

Date: 5/20/1972

Series 4

Date: 9/13/1977

Series 12

Date: 6/19/1977

Series 40

Date: 6/17/1976

Current Firm

DUKE AND DUKE WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DUKE AND DUKE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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