Neil Hiralal Vaswani | Financial Professional

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 Hiralal Vaswani, who also goes by Neil H Vaswani, Neil Vaswani, was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 2006. Neil had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Neil H Vaswani | Neil Vaswani

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 8, 2013 - August 22, 2014

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

ROYAL OAK, MI

Past

November 7, 2013 - August 22, 2014

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

ROYAL OAK, MI

Past

July 1, 2013 - August 22, 2013

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

SOUTHFIELD, MI

Past

June 24, 2013 - August 22, 2013

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD

CRD#: 20472

SOUTHFIELD, MI

Past

June 20, 2012 - April 17, 2013

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

NOVI, MI

Past

June 14, 2012 - April 16, 2013

FIDELITY BROKERAGE SERVICES LLC

BD

CRD#: 7784

NOVI, MI

Past

July 1, 2011 - May 30, 2012

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ROYAL OAK, MI

Past

May 14, 2009 - May 30, 2012

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

ROYAL OAK, MI

Past

October 19, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD

CRD#: 4095

PLYMOUTH MEETING, PA

Past

October 19, 2006 - May 1, 2009

MSI FINANCIAL SERVICES, INC.

BD

CRD#: 14251

PLYMOUTH MEETING, PA

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".

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

IAR

Series 66

Date: 6/10/2011

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 11/6/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 6/17/2011

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 10/18/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	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 H. Vaswani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/10/2011

Series 63

Date: 11/6/2006

Series 7

Date: 6/17/2011

Series 6

Date: 10/18/2006

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

TRUST BUT VERIFY

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