Dominic A. Necciai

PROSPER WISELY

Pittsburgh, PA

Some features on this profile are disabled

CRD#: 4344482

Professional summary

Dominic August Necciai is a registered financial advisor currently at PROSPER WISELY, LLC located in Pittsburgh, Pennsylvania.

Dominic is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Dominic has worked at 4 firms and has passed the Series 65, Series 66, Series 63, Series 31 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.

Licensed insurance agent, state of Pennsylvania.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic August Necciai'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

October 29, 2021 - Present

PROSPER WISELY, LLC

RIA

CRD#: 316798

Pittsburgh, PA

Past

January 24, 2012 - July 24, 2013

MORGAN STANLEY

RIA

CRD#: 149777

PITTSBURGH, PA

Past

January 24, 2012 - July 24, 2013

MORGAN STANLEY

CRD#: 149777

PITTSBURGH, PA

Past

June 3, 2011 - January 17, 2012

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PITTSBURGH, PA

Past

November 15, 2010 - January 17, 2012

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

July 24, 2008 - June 17, 2009

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

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

Pennsylvania
(10/29/2021)

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: 8/24/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/2/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/6/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 3/28/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/23/2008

General Securities Representative Examination

Current Firm

PROSPER WISELY, LLC

CRD#: 316798 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (10/29/2021 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

Pittsburgh, PA

Mailing Address

Phone number

(724) 220-6614

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dominic A. Necciai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic August Necciai's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/2021

Series 66

Date: 6/2/2011

Series 63

Date: 8/6/2008

Series 31

Date: 3/28/2012

Series 7

Date: 7/23/2008

Current Firm

PROSPER WISELY, LLC

Contact information

Documents

Red Flags

Company Information

PROSPER WISELY, LLC

TRUST BUT VERIFY

Similar Advisors