JN
John H. Neely
ST. BERNARD FINANCIAL SERVICES
Edmond, OK 73034
Some features on this profile are disabled
CRD#: 501565
JN
Professional summary
John Huey Neely is a registered financial advisor currently at ST. BERNARD FINANCIAL SERVICES, INC. located in Edmond, Oklahoma.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. John has worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 24, Series 53 and Series 54FN 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.
1.John Neely Insurance-N-Edmond, OK-Insurance Sales-Agent-01/2008-0-0-Receiving trails on 3 Equity Indexed Annuities written in 2008. 2. 3 D Scans Plus 2708 Asheforde Oaks Blvd Edmond, OK 73034 07/2018-24-0-Scan real estate properties with special scanning camera. Make presentations for clients to make solicitations of real estate brokers to be hired for the specific function of scanning their properties. 3. Applewoods 2708 Asheforde Oaks Blvd, Edmond, OK 73054 8/9/2024 0hrs Internet Marketing.
CRS (Client Relationship Summary) - RIA
Click below to view John Huey Neely's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Huey Neely'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®
NoneExperience
Current
March 15, 2019 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
Office #1: 2708 Asheforde Oaks Blvd, Edmond, OK 73034RIA
BD
CRD#: 36956
Edmond, OK
Current
March 13, 2019 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
Office #1: 1609 West Main St, Russellville, AR 72801Office #2: 1609 West Main St., Russellville, AR 72801RIA
BD
CRD#: 36956
Russellville, AR
Past
November 13, 2018 - March 8, 2019
CHAPPELWOOD FINANCIAL SERVICES
RIA
CRD#: 134318
EDMOND, OK
Past
August 19, 2009 - September 19, 2018
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
EDMOND, OK
Past
August 18, 2009 - September 19, 2018
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
EDMOND, OK
Past
July 13, 2009 - August 14, 2009
WFG ADVISORS, LP
RIA
CRD#: 125073
OKLAHOMA CITY, OK
Past
June 9, 2004 - August 14, 2009
WFG INVESTMENTS, INC.
BD
CRD#: 22704
OKLAHOMA CITY, OK
Past
March 26, 2004 - September 14, 2009
CENTURY ADVISORS, LLC
RIA
CRD#: 130155
OKLAHOMA CITY, OK
Past
June 29, 1999 - June 16, 2004
SPELMAN & CO., INC.
RIA
CRD#: 10232
OKLAHOMA CITY, OK
Past
June 10, 1999 - June 16, 2004
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
Past
May 27, 1998 - June 16, 1999
CENTURY INVESTMENT GROUP INCORPORATED
BD
CRD#: 36254
SAN DIEGO, CA
Past
July 8, 1992 - June 12, 1998
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 1, 1989 - July 13, 1992
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
January 21, 1987 - June 1, 1989
FINSER INVESTMENT COMPANY
BD
CRD#: 14981
Past
May 18, 1979 - January 13, 1987
INVESTMENT SECURITIES OF OKLAHOMA, INC.
BD
CRD#: 7950
Past
February 6, 1976 - April 28, 1979
WOOLSEY & COMPANY, INCORPORATED
BD
CRD#: 7012
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".
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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.RR
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
IAR
North Carolina(8/13/2019)
RR
Oklahoma(3/15/2019)
IAR
Oklahoma(3/15/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 54FN
Date: 5/1/1979
Municipal Securities Financial and Operations Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1609 West Main St., Russellville, AR 72801
Mailing Address
1609 West Main St., Russellville, AR 72801
Phone number
(479) 967-1200
Established
Arkansas since 03/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
109
SEC notice filing (40 States and Territories)
FINRA licenses (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 841 |
| AUM (Assets Under Management) | $ 130,472,570 |
Disclosures
| Regulatory Event | 6 |
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.
