Neil T. Devoe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Neil Thompson Devoe was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 2005. Neil had worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2020 - November 17, 2021
GOLDMAN SACHS & CO. LLC
January 16, 2020 - November 17, 2021
UNITED CAPITAL FINANCIAL ADVISORS
October 29, 2019 - January 13, 2020
CETERA WEALTH SERVICES, LLC
October 29, 2019 - September 1, 2020
CETERA WEALTH SERVICES, LLC
April 4, 2018 - June 14, 2019
LAKE POINT WEALTH MANAGEMENT, LLC
June 9, 2017 - January 18, 2018
CAPITAL ONE ADVISORS, LLC
June 9, 2017 - January 18, 2018
CAPITAL ONE INVESTING, LLC
September 13, 2013 - June 15, 2017
LPL FINANCIAL LLC
September 13, 2013 - June 15, 2017
LPL FINANCIAL LLC
September 9, 2011 - September 13, 2013
LUCIA SECURITIES, LLC
April 9, 2010 - September 13, 2013
LUCIA CAPITAL GROUP
June 18, 2008 - October 20, 2010
RAYMOND J. LUCIA COMPANIES, INC.
November 9, 2007 - December 5, 2011
FIRST ALLIED SECURITIES, INC.
January 27, 2006 - September 20, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
December 20, 2005 - September 20, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
GOLDMAN SACHS & CO. LLC
CRD#: 361 / SEC#: 801-16048, 8-129
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GOLDMAN SACHS & CO. LLC
CRD#: 361 / SEC#: 801-16048, 8-129
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GOLDMAN SACHS GROUP, INC. | CLASS A MEMBER | |
| COLEMAN, DENIS PATRICK III | MANAGING DIRECTOR, MANAGER | 2782373 |
| DOYLE, BRIAN RICHARD | MANAGING DIRECTOR, CFO | 6003685 |
| GREEFF, BRIAN MICHAEL | CO-PRINCIPAL OPERATIONS OFFICER | 4273392 |
| MATTHIAS, THOMAS FAIRBANKS | CHIEF COMPLIANCE OFFICER | 2872690 |
| MCCASKILL, MARK | MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 3272131 |
| RUEMMLER, KATHRYN HELEN | MANAGING DIRECTOR, CLO, MANAGER | 7250761 |
| SOLOMON, DAVID MICHAEL | MANAGING DIRECTOR, MANAGER | 1616414 |
| VENEZIA, CARMINE ANTHONY | CHIEF COMPLIANCE OFFICER | 4117304 |
| WALDRON, JOHN EDWARD | MANAGING DIRECTOR, CEO, MANAGER | 2569337 |
Regulatory assets under management
| Total Number of Accounts | 42,138 |
| AUM (Assets Under Management) | $ 233,155,693,023 |
Disclosures
| Regulatory Event | 408 |
| Civil Event | 4 |
| Arbitration | 20 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 09/25/2024 | ||
| 11/17/2023 | ||
| 01/26/2023 |
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.
