Neil C. Guarniere

KESTRA ADVISORY SERVICES

Fort Worth, TX 76107

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CRD#: 4603456

Professional summary

Neil Christopher Guarniere, who also goes by Neil C Guanknicke, Neil C Guarinere, Neil Guarinere, Neil Christopher Guarniere, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Fort Worth, Texas and KESTRA INVESTMENT SERVICES, LLC located in Fort Worth, Texas.

Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Neil has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neil C Guanknicke | Neil C Guarinere | Neil Guarinere | Neil Christopher Guarniere

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.

Name; SYMONDS WEALTH MANAGEMENT POSITION: Financial Sales Support and Planner NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/08/2025 ADDRESS: 2512 Horne Street, Suite 100, Fort Worth TX 76107, United States DESCRIPTION: Develop and implement personalized financial plans. Collaborate with the sales team to identify new opportunities and support lead conversion. Stay current on market trends, investment strategies, and compliance regulations. Execute account-level trading and portfolio maintenance promptly and accurately. Complete model-level trading and portfolio maintenance on a timely schedule. Provide regular updates to advisors based on the established cadence (3-7-10) and address off-cycle issues related to client materials and action items. Conduct client reviews for non-platinum clients with a focus on delivering exceptional service and identifying additional asset opportunities Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/08/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Christopher Guarniere'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®

None

Experience

Current

September 16, 2025 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 2512 Horne St Suite100, Fort Worth, TX 76107

RIA

CRD#: 283330

Fort Worth, TX

Current

September 16, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 2512 Horne St Suite 200, Fort Worth, TX 76107

CRD#: 42046

Fort Worth, TX

Past

January 13, 2025 - September 8, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GARDEN CITY, NY

Past

January 13, 2025 - September 8, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GARDEN CITY, NY

Past

January 24, 2023 - January 2, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

LAKE GROVE, NY

Past

January 24, 2023 - January 2, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

LAKE GROVE, NY

Past

October 6, 2022 - December 16, 2022

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

WOODBURY, NY

Past

October 6, 2022 - December 16, 2022

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WOODBURY, NY

Past

January 25, 2022 - June 27, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Richardson, TX

Past

January 25, 2022 - June 27, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Richardson, TX

Past

October 14, 2020 - December 31, 2021

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

JERICHO, NY

Past

October 14, 2020 - December 31, 2021

CADARET, GRANT & CO., INC.

CRD#: 10641

JERICHO, NY

Past

July 14, 2020 - September 16, 2020

LINCOLN INVESTMENT

RIA

CRD#: 519

AUSTIN, TX

Past

July 14, 2020 - September 16, 2020

LINCOLN INVESTMENT

CRD#: 519

AUSTIN, TX

Past

March 6, 2020 - March 11, 2020

MASTERPIECE CAPITAL, LLC

RIA

CRD#: 290075

AUSTIN, TX

Past

February 24, 2020 - March 3, 2020

LIME TRADING CORP

CRD#: 11826

NEW YORK, NY

Past

September 17, 2019 - November 12, 2019

LION STREET ADVISORS, LLC

RIA

CRD#: 167610

Austin, TX

Past

September 16, 2019 - November 1, 2019

LION STREET FINANCIAL, LLC

CRD#: 165828

AUSTIN, TX

Past

December 4, 2017 - June 25, 2019

LINCOLN INVESTMENT

RIA

CRD#: 519

AUSTIN, TX

Past

December 4, 2017 - June 25, 2019

CAPITAL ANALYSTS

RIA

CRD#: 162200

Austin, TX

Past

October 19, 2015 - June 25, 2019

LINCOLN INVESTMENT

CRD#: 519

AUSTIN, TX

Past

February 12, 2013 - November 25, 2013

LPL FINANCIAL LLC

CRD#: 6413

MASSAPEQUA, NY

Past

January 26, 2012 - March 22, 2012

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

January 1, 2010 - February 11, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

MELVILLE, NY

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 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.

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

Texas
(9/16/2025)

IAR

Texas
(9/16/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/25/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/5/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/23/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/29/2009

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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

Neil C. Guarniere

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Christopher Guarniere's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

LINCOLN INVESTMENT

LINCOLN INVESTMENT

MASTERPIECE CAPITAL, LLC

LIME TRADING CORP

LION STREET ADVISORS, LLC

LION STREET FINANCIAL, LLC

LINCOLN INVESTMENT

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LPL FINANCIAL LLC

NEXT FINANCIAL GROUP, INC.

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/2017

Series 63

Date: 5/5/2017

SIE

Date: 10/1/2018

Series 7

Date: 3/23/2018

Series 6

Date: 12/29/2009

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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