Joseph R. Neri

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CRD#: 346494

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.

Joseph Robert Neri was a registered financial advisor .

Joseph is a previously registered financial advisor and started their career in finance in 1974. Joseph had worked at 7 firms and has passed the Series 63, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 20, 1994 - February 9, 2005

NWF ADVISORY SERVICES INC

RIA

CRD#: 110410

LOS ANGELES, CA

Past

April 11, 1990 - June 5, 2002

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

April 2, 1990 - April 11, 2005

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 7, 1982 - April 2, 1990

BERKSHIRE EQUITY SALES, INC.

CRD#: 87

PITTSFIELD, MA

Past

December 28, 1981 - January 4, 1984

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

April 18, 1974 - January 4, 1984

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

Past

April 18, 1974 - January 4, 1984

OSAIC FA, INC.

CRD#: 3978

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".

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/11/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 4/15/1974

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/17/1997

General Securities Principal Examination

Current Firm

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

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Contact information

Main Address

11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064

Mailing Address

Phone number

(310) 475-5854

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NWF ADV PART 2 A 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,979
AUM (Assets Under Management)	$ 3,824,876,751

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

Joseph R. Neri

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

1717 CAPITAL MANAGEMENT COMPANY

OSAIC WEALTH, INC.

BERKSHIRE EQUITY SALES, INC.

LINCOLN NATIONAL PENSION INSURANCE COMPANY

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

NWF ADVISORY SERVICES INC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/11/1991

Series 1

Date: 4/15/1974

Series 24

Date: 11/17/1997

Current Firm

NWF ADVISORY SERVICES INC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NWF ADVISORY SERVICES INC

TRUST BUT VERIFY

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