NS
Neil G. Schmerling
CETERA INVESTMENT ADVISERS LLC
JENKINTOWN, PA 19046
Some features on this profile are disabled
CRD#: 4075729
NS
Professional summary
Neil Gerson Schmerling, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jenkintown, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Jenkintown, Pennsylvania.
Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Neil has worked at 7 firms and has passed the Series 66, SIE and Series 7 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.
1) DUBROW, PC POSITION: LANDLORD NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2008 ADDRESS: Jenkintown PA , United States DESCRIPTION: LEASE OFFICE SPACE. 2) SOLE PRACTITIONER CPA POSITION: CPA NATURE: CPA services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DESCRIPTION: CPA. 3) THE SCHMERLING GROUP POSITION: OWNER NATURE: NULL INVESTMENT RELATED: No NUMBER OF HOURS: NULL SECURITIES TRADING HOURS: NULL START: 01/01/2002 DESCRIPTION: NULL. 4) RODEF SHOLOM CONGREGATION POSITION: President NATURE: The organization is a synagogue INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2018 ADDRESS: 4609 Atlantic Avenue, Atlantic City NJ 08401, DESCRIPTION: Oversee and coordinate the operation of the institution with the help of paid staff, board members, committee members and other volunteers. 5) SCHMERLING FINANCIAL GROUP POSITION: Owner NATURE: Financial Planning Firm INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/01/2022 ADDRESS: 261 Old York Road, Suite 514, Jenkintown PA 19046, United States DESCRIPTION: Client Service, analysis, manage staff. 6) STANDARD INSURANCE POSITION: Rep NATURE: Rep for Disability Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/15/2022 ADDRESS: 261 Old York Road, Suite 514, Jenkintown PA 19046, United States DESCRIPTION: Advise client on disability insurance options,Shop for best fit
CRS (Client Relationship Summary) - RIA
Click below to view Neil Gerson Schmerling'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®
CFP®
Start date: 2003
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 261 Old York Road Suite 514, Jenkintown, PA 19046Office #2: 1370 Lamberton Drive Suite 15, Silver Spring, MD 20902RIA
CRD#: 105644
JENKINTOWN, PA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 261 Old York Road Suite 514, Jenkintown, PA 19046Office #2: 1370 Lamberton Drive Suite 15, Silver Spring, MD 20902BD
CRD#: 13572
JENKINTOWN, PA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
JENKINTOWN, PA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
JENKINTOWN, PA
Past
March 30, 2001 - September 30, 2019
SCHMERLING FINANCIAL GROUP, LLC
RIA
CRD#: 122795
ABINGTON, PA
Past
March 15, 2000 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
JENKINTOWN, PA
Past
December 21, 1999 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
JENKINTOWN, PA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
California(9/5/2025)
RR
Delaware(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Illinois(9/5/2025)
RR
Kansas(9/5/2025)
RR
Maryland(9/5/2025)
IAR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Nebraska(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/18/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
IAR
Pennsylvania(9/5/2025)
RR
South Carolina(9/18/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
