NEAL D. SMITH
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS | PRINCIPAL
Chicago, IL 60606
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CRD#: 4210693
Professional summary
NEAL DRYTON SMITH is a registered financial advisor currently at CERITY PARTNERS RETIREMENT PLAN CONSULTANTS located in Chicago, Illinois.
NEAL is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. NEAL has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Biography
Neal is a Principal in the Chicago office and a member of the Retirement Plan Services Group. He has more than 17 years of experience working with executives and investment management committees to develop efficient and effective retirement plan strategies. Neal specializes in creating healthy retirement plans for all types of institutional clients.
Prior to joining Cerity Partners, Neal was an ERISA Consultant for Blue Prairie Group, helping thousands of employees at all stages of their careers and across many industries implement more effective retirement savings practices. Earlier in his career, he worked in both relationship management and sales for Voya Financial and Nuveen Securities, giving him unique insights into developing retirement plans that produce healthy outcomes for employees.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view NEAL DRYTON SMITH'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®
NoneEducation
University of Iowa
Loyola University Chicago
Experience
Current
July 2, 2019 - Present
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
Office #1: 320 S. Canal St., Chicago, IL 60606RIA
CRD#: 164198
Chicago, IL
Past
April 21, 2016 - May 3, 2018
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
LISLE, IL
Past
April 20, 2016 - May 3, 2018
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
LISLE, IL
Past
September 1, 2011 - April 6, 2016
NUVEEN ASSET MANAGEMENT, LLC
RIA
CRD#: 155584
CHICAGO, IL
Past
March 1, 2007 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
RIA
CRD#: 104626
CHICAGO, IL
Past
October 10, 2006 - April 6, 2016
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
April 12, 2002 - September 28, 2006
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
LISLE, IL
Past
September 19, 2001 - December 31, 2001
OLD SLIP CAPITAL MANAGEMENT, INC.
BD
CRD#: 7360
NEW YORK, NY
Past
October 20, 2000 - August 9, 2001
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
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".
CP
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
CERITY PARTNERS | RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC | RETIREMENT PLAN ADVISORS | PENSION ARCHITECTS | CERITY PARTNERS RETIREMENT PLAN CONSULTANTS | CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC | CERITY PARTNERS RETIREMENT PLAN ADVISORS
CRD#: 164198 / SEC#: 801-76705
RIA
Registered Investment Advisory firm - (5/29/2012 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
Illinois(7/2/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CP
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
CERITY PARTNERS | RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC | RETIREMENT PLAN ADVISORS | PENSION ARCHITECTS | CERITY PARTNERS RETIREMENT PLAN CONSULTANTS | CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC | CERITY PARTNERS RETIREMENT PLAN ADVISORS
CRD#: 164198 / SEC#: 801-76705
RIA
Registered Investment Advisory firm - (5/29/2012 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
99 Park Avenue 16th Floor, New York, NY 10016
Mailing Address
Phone number
(212) 850-4260
Established
Firm type
Fiscal year end
# of Employees
87
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 622 |
| AUM (Assets Under Management) | $ 18,953,321,052 |
Red Flags
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