Neil Schraffenberger

STRATEGIC ADVISERS LLC

LAKEWOOD, CO

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CRD#: 6190504

Professional summary

Neil Schraffenberger, who also goes by Neil David Schraffenberger, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Lakewood, Colorado and FIDELITY BROKERAGE SERVICES LLC located in Broomfield, Colorado.

Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Neil has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neil David Schraffenberger

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Schraffenberger's CRS (Customer Relationship Summary).

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

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 281 E. Flatiron Crossing Dr, Broomfield, CO 80021

RIA

CRD#: 104555

LAKEWOOD, CO

Current

October 23, 2024 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 281 E. Flatiron Crossing Dr, Broomfield, CO 80021

CRD#: 7784

Broomfield, CO

Past

November 22, 2024 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BROOMFIELD, CO

Past

April 21, 2023 - October 15, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Denver, CO

Past

April 21, 2023 - October 15, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Denver, CO

Past

March 1, 2023 - April 21, 2023

SYNTEGRA PRIVATE WEALTH GROUP LLC

RIA

CRD#: 323180

DENVER, CO

Past

June 6, 2019 - April 10, 2023

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

DENVER, CO

Past

June 6, 2019 - April 10, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

GOLDEN, CO

Past

October 19, 2018 - October 25, 2018

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

DENVER, CO

Past

September 6, 2018 - October 25, 2018

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

DENVER, CO

Past

February 10, 2014 - September 23, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

CINCINNATI, OH

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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

Arizona
(12/12/2024)

Colorado
(10/23/2024)

IAR

Colorado
(3/31/2025)

Indiana
(7/31/2025)

Montana
(10/28/2025)

New Mexico
(12/12/2024)

Texas
(10/30/2024)

IAR

Texas
(3/31/2025)

Utah
(12/12/2024)

Wyoming
(12/12/2024)

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 65

Date: 10/18/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/16/2014

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: 2/10/2014

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	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 Schraffenberger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Schraffenberger's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

SYNTEGRA PRIVATE WEALTH GROUP LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/2018

Series 63

Date: 5/16/2014

SIE

Date: 10/1/2018

Series 7

Date: 2/10/2014

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

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