AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RN

Rebecca E. Neils

ROBERTSON STEPHENS
DENVER, CO 80218
Some features on this profile are disabled
CRD#: 4187848
RN

Professional summary

Rebecca E Neils, CFP®, CPWA®, who also goes by Becky Neils, Rebecca Elizabeth Neils, Rebecca E St Clair, Rebecca Elizabeth St.clair, Rebecca Elizabeth Stclair, is a registered financial advisor currently at ROBERTSON STEPHENS located in Denver, Colorado.

Rebecca is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Rebecca has worked at 4 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Becky Neils | Rebecca Elizabeth Neils | Rebecca E St Clair | Rebecca Elizabeth St.clair | Rebecca Elizabeth Stclair

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. Rebecca Neils|Investment Related:No|30619 S SandHurst Lane ;Oracle;AZ;85623;USA|Real Estate (Non-Agent/Broker)|Owner of a rental home|2022-11-18|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|no business other than we own a home we rent, not listed in any type of business entity 2. self|Investment Related:No|30619 S Sand Hurst Lane Unit B ;Oracle;AZ;85623;USA|Real Estate (Non-Agent/Broker)|owner |2022-12-26|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|I own one side of an attached home 3. condo we will rent|Investment Related:No|5670 s algonquian way unit B;aurora;CO;80016;USA|Real Estate (Non-Agent/Broker)|owner of condo|2021-04-05|HoursPerMonth:Varies|HoursSpentduringSecurityTrading:0|we purchased a condo last week that we will be renting out. No one is living there currently but will start mid May 2021

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rebecca E Neils'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®
CFP®

Certified Financial Planner

Start date: 2010

CPWA®

Certified Private Wealth Advisor

Start date: 2020-05-28

Expire date: 2024-04-30

Experience

Current

July 30, 2024 - Present

ROBERTSON STEPHENS

Office #1: 1741 N High St, Denver, CO 80218
RIA
CRD#: 289977
DENVER, CO
Past

April 11, 2024 - August 28, 2024

RATIO WEALTH GROUP LLC

RIA
CRD#: 306278
DENVER, CO
Past

January 3, 2012 - April 22, 2024

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
LONE TREE, CO
Past

July 15, 2002 - December 31, 2011

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Lone Tree, CO
Past

August 14, 2000 - April 22, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Lone Tree, CO

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".
RS
ROBERTSON STEPHENS
ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC

CRD#: 289977 / SEC#: 801-111814

RIA
Registered Investment Advisory firm - (10/11/2017 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.

Highlighted states indicate IAR registrations

IAR
Colorado
(7/30/2024)
IAR
Texas
(7/30/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/21/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/8/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/11/2000
General Securities Representative Examination

Current Firm

RS
ROBERTSON STEPHENS
ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC

CRD#: 289977 / SEC#: 801-111814

RIA
Registered Investment Advisory firm - (10/11/2017 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
455 Market Street Ste. 1450, San Francisco, CA 94105-2442
Mailing Address
Phone number
(415) 500-6810
Established
Firm type
Fiscal year end
# of Employees
113

SEC notice filing (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ROBERTSON STEPHENS ADV PART 2A BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts7,419
AUM (Assets Under Management)$ 7,139,384,497

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.

Company Information

ROBERTSON STEPHENS

CRD#: 289977Denver, CO 80218

TRUST BUT VERIFY

Monitor Rebecca Neils

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Craig Stuart Johlfs
Craig JohlfsAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Greenwood Village, CO
Ralph Milburn Jones JR
Ralph JonesAdvisorCheck Check Mark
OPPENHEIMER & CO. INC.
IAR
RR
Denver, CO
Lorie Chantelle Jones
Lorie JonesAdvisorCheck Check Mark
TANDEM FINANCIAL, LLC
IAR
GREENWOOD VILLAGE, CO
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics