Neil A. Davies

CAP STRAT

Oakbrook Terrace, IL 60181

Some features on this profile are disabled

CRD#: 4868215

Professional summary

Neil Anthony Davies, who also goes by Neil A. Davies, is a registered financial advisor currently at CAP STRAT located in Oakbrook Terrace, Illinois.

Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Neil has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neil A. Davies

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Anthony Davies'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

July 3, 2025 - Present

CAP STRAT

Office #1: One Parkview Plaza Suite 620, Oakbrook Terrace, IL 60181

RIA

CRD#: 150091

Oakbrook Terrace, IL

Past

March 7, 2005 - April 18, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NAPERVILLE, IL

Past

October 18, 2004 - April 18, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NAPERVILLE, 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".

CAP STRAT

CAP STRAT | CAPITAL STRATEGIES INVESTMENT GROUP LLC

CRD#: 150091 / SEC#: 801-70212

RIA

Registered Investment Advisory firm - (5/26/2009 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

Texas
(7/3/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/3/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/2004

General Securities Representative Examination

Current Firm

CAP STRAT

CAP STRAT | CAPITAL STRATEGIES INVESTMENT GROUP LLC

CRD#: 150091 / SEC#: 801-70212

RIA

Registered Investment Advisory firm - (5/26/2009 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

One Parkview Plaza Suite 620, Oakbrook Terrace, IL 60181

Mailing Address

Phone number

(630) 320-5100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts	1,069
AUM (Assets Under Management)	$ 21,292,246,925

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

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Neil A. Davies

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Anthony Davies's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAP STRAT

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

CAP STRAT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/3/2005

Series 7

Date: 10/15/2004

Current Firm

CAP STRAT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAP STRAT

TRUST BUT VERIFY

Similar Advisors