Ginny R. Neal

SPRINGTRU

Palm Beach Gardens, FL

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CRD#: 5314372

Professional summary

Ginny Rae Neal is a registered financial advisor currently at SPRINGTRU, LLC located in Palm Beach Gardens, Florida and KOVACK SECURITIES INC. located in Palm Beach Gardens, Florida.

Ginny is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Ginny has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ginny Rae Neal'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®

None

Experience

Current

January 7, 2021 - Present

SPRINGTRU, LLC

RIA

CRD#: 164776

Palm Beach Gardens, FL

Current

December 21, 2022 - Present

KOVACK SECURITIES INC.

CRD#: 44848

Palm Beach Gardens, FL

Past

October 26, 2015 - January 2, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PALM BEACH GARDENS, FL

Past

October 26, 2015 - January 2, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PALM BEACH GARDENS, FL

Past

December 18, 2014 - November 12, 2015

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

PALM BEACH, FL

Past

September 29, 2014 - November 12, 2015

BARCLAYS CAPITAL INC.

CRD#: 19714

PALM BEACH, FL

Past

November 16, 2010 - August 6, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

DALLAS, TX

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

IAR

California
(7/30/2025)

IAR

Florida
(1/7/2021)

Florida
(12/21/2022)

IAR

Texas
(4/19/2022)

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 66

Date: 12/15/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/6/2010

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: 11/15/2010

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SPRINGTRU, LLC

INVESTMENT ADVISORY SERVICES NETWORK, LLC | SPRINGTRU, LLC

CRD#: 164776 / SEC#:

California

Registered Investment Advisory firm - (7/30/2025 Approved)

Florida

Registered Investment Advisory firm - (8/3/2012 Approved)

Texas

Registered Investment Advisory firm - (3/31/2022 Conditional Restricted)

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Contact information

Main Address

Palm Beach Gardens, FL

Mailing Address

Phone number

(561) 717-7997

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	130
AUM (Assets Under Management)	$ 34,097,000

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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Ginny R. Neal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ginny Rae Neal's CRS (Customer Relationship Summary).

Certified licenses

Experience

KOVACK SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/15/2014

Series 63

Date: 12/6/2010

SIE

Date: 10/1/2018

Series 7

Date: 11/15/2010

FINRA

Nasdaq Stock Market

Current Firm

SPRINGTRU, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SPRINGTRU, LLC

TRUST BUT VERIFY

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