JN
John F. Neeley
NATIONWIDE SECURITIES
Sacramento, CA
Some features on this profile are disabled
CRD#: 5932682
JN
Professional summary
John Francis Neeley, CFP®, who also goes by Jack Francis Neeley, John Francis Neeley, is a registered financial advisor currently at NATIONWIDE SECURITIES, LLC located in Sacramento, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. John has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jack Francis Neeley | John Francis Neeley
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.
CRS (Client Relationship Summary) - RIA
Click below to view John Francis Neeley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Francis Neeley'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®
CFP®
Start date: 2020
Experience
Current
September 8, 2023 - Present
NATIONWIDE SECURITIES, LLC
RIA
BD
CRD#: 11173
Sacramento, CA
Current
September 7, 2023 - Present
NATIONWIDE SECURITIES, LLC
RIA
BD
CRD#: 11173
Sacramento, CA
Past
July 25, 2023 - August 17, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
CAMERON PARK, CA
Past
July 25, 2023 - August 17, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CAMERON PARK, CA
Past
January 12, 2021 - July 17, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Folsom, CA
Past
January 7, 2021 - June 20, 2023
LANE FLORENCE, LLC
RIA
CRD#: 144916
CAMERON PARK, CA
Past
September 20, 2017 - July 17, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
CAMERON, CA
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".
NS
NATIONWIDE SECURITIES, LLC
NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.
CRD#: 11173 / SEC#: 801-69260, 8-12500
RIA
Registered Investment Advisory firm - SEC (7/9/2008 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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
RR
Alabama(10/5/2023)
IAR
Alabama(1/23/2024)
RR
Alaska(10/5/2023)
IAR
Alaska(1/23/2024)
RR
Arizona(10/5/2023)
IAR
Arizona(2/7/2024)
RR
Arkansas(10/5/2023)
IAR
Arkansas(1/23/2024)
RR
California(9/7/2023)
IAR
California(1/23/2024)
RR
Colorado(10/5/2023)
IAR
Colorado(1/23/2024)
RR
Connecticut(10/5/2023)
IAR
Connecticut(1/23/2024)
RR
Delaware(10/5/2023)
IAR
Delaware(1/23/2024)
RR
District of Columbia(10/5/2023)
IAR
District of Columbia(2/23/2024)
RR
Florida(10/5/2023)
IAR
Florida(1/24/2024)
RR
Georgia(10/5/2023)
IAR
Georgia(1/25/2024)
RR
Hawaii(10/5/2023)
IAR
Hawaii(1/23/2024)
RR
Idaho(10/5/2023)
IAR
Idaho(1/23/2024)
RR
Illinois(10/5/2023)
IAR
Illinois(1/23/2024)
RR
Indiana(10/5/2023)
IAR
Indiana(1/23/2024)
RR
Iowa(10/5/2023)
IAR
Iowa(1/23/2024)
RR
Kansas(10/5/2023)
IAR
Kansas(1/23/2024)
RR
Kentucky(10/5/2023)
IAR
Kentucky(1/23/2024)
RR
Louisiana(10/5/2023)
IAR
Louisiana(1/24/2024)
RR
Maine(10/5/2023)
IAR
Maine(1/23/2024)
RR
Maryland(10/5/2023)
IAR
Maryland(1/23/2024)
RR
Massachusetts(10/5/2023)
IAR
Massachusetts(2/7/2024)
RR
Michigan(10/5/2023)
IAR
Michigan(1/23/2024)
RR
Minnesota(10/5/2023)
IAR
Minnesota(1/23/2024)
RR
Mississippi(10/5/2023)
IAR
Mississippi(1/23/2024)
RR
Missouri(10/5/2023)
IAR
Missouri(1/23/2024)
RR
Montana(10/5/2023)
IAR
Montana(1/24/2024)
RR
Nebraska(10/5/2023)
IAR
Nebraska(1/23/2024)
RR
Nevada(10/5/2023)
IAR
Nevada(1/26/2024)
RR
New Hampshire(10/5/2023)
IAR
New Hampshire(1/23/2024)
RR
New Jersey(10/5/2023)
IAR
New Jersey(1/23/2024)
RR
New Mexico(10/5/2023)
IAR
New Mexico(1/24/2024)
RR
New York(10/5/2023)
IAR
New York(1/23/2024)
RR
North Carolina(10/5/2023)
IAR
North Carolina(1/23/2024)
RR
North Dakota(10/5/2023)
IAR
North Dakota(1/29/2024)
IAR
Ohio(9/8/2023)
RR
Ohio(10/5/2023)
RR
Oklahoma(10/5/2023)
IAR
Oklahoma(1/23/2024)
RR
Oregon(10/5/2023)
IAR
Oregon(1/23/2024)
RR
Pennsylvania(10/5/2023)
IAR
Pennsylvania(1/23/2024)
RR
Puerto Rico(10/5/2023)
RR
Rhode Island(10/5/2023)
IAR
Rhode Island(1/23/2024)
RR
South Carolina(10/5/2023)
IAR
South Carolina(1/23/2024)
RR
South Dakota(10/5/2023)
IAR
South Dakota(1/23/2024)
RR
Tennessee(10/5/2023)
RR
Texas(10/5/2023)
IAR
Texas(1/23/2024)
RR
Utah(10/5/2023)
IAR
Utah(1/24/2024)
RR
Vermont(10/5/2023)
IAR
Vermont(1/23/2024)
RR
Virginia(10/5/2023)
IAR
Virginia(1/23/2024)
RR
Washington(10/5/2023)
IAR
Washington(1/23/2024)
RR
West Virginia(10/5/2023)
IAR
West Virginia(1/30/2024)
RR
Wisconsin(10/5/2023)
IAR
Wisconsin(1/23/2024)
RR
Wyoming(10/5/2023)
IAR
Wyoming(1/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NATIONWIDE SECURITIES, LLC
NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.
CRD#: 11173 / SEC#: 801-69260, 8-12500
RIA
Registered Investment Advisory firm - SEC (7/9/2008 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215
Mailing Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Phone number
(888) 753-7364
Established
Delaware since 10/09/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
24
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
