Neal Robinson

AVANTAX PLANNING PARTNERS

Lakeville, MN

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CRD#: 6285461

Professional summary

Neal Robinson, CFP®, who also goes by Neal Forrest Robinson, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Lakeville, Minnesota and CETERA INVESTMENT ADVISERS LLC located in Dubuque, Iowa.

Neal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Neal has worked at 11 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neal Forrest Robinson

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.

1) EQUITY INDEXED ANNUITIES POSITION: Financial Advisor NATURE: I am appointed to sell equity indexed annuities INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/01/2022 ADDRESS: 3390 Asbury Road, Dubuque IA 52002, United States DESCRIPTION: I am appointed to sell equity indexed annuities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal Robinson'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

December 22, 2021 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #2: 3390 Asbury Road, Dubuque, IA 52002-2801

RIA

CRD#: 106237

Lakeville, MN

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3390 Asbury Road, Dubuque, IA 52002

RIA

CRD#: 105644

DUBUQUE, IA

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3390 Asbury Road, Dubuque, IA 52002

CRD#: 13572

DUBUQUE, IA

Past

December 22, 2021 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Lakeville, MN

Past

December 22, 2021 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DUBUQUE, IA

Past

August 25, 2021 - December 1, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

Milwaukee, WI

Past

August 25, 2021 - December 1, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Milwaukee, WI

Past

November 3, 2020 - November 18, 2020

J.P. MORGAN SECURITIES LLC

CRD#: 79

Minneapolis, MN

Past

October 14, 2020 - November 18, 2020

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Minneapolis, MN

Past

February 9, 2018 - September 21, 2020

PRUDENTIAL SELECT STRATEGIES LLC

RIA

CRD#: 286153

Plymouth, MN

Past

February 1, 2018 - December 5, 2018

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Plymouth, MN

Past

February 1, 2018 - September 21, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

Plymouth, MN

Past

April 9, 2017 - January 16, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MINNEAPOLIS, MN

Past

April 7, 2017 - January 16, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MINNEAPOLIS, MN

Past

March 17, 2014 - April 11, 2017

EDWARD JONES

RIA

CRD#: 250

PRESCOTT, WI

Past

February 24, 2014 - April 11, 2017

EDWARD JONES

CRD#: 250

PRESCOTT, WI

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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

Colorado
(9/5/2025)

IAR

Iowa
(2/25/2025)

Iowa
(9/5/2025)

IAR

Minnesota
(12/22/2021)

Minnesota
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

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: 3/14/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/24/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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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Firm Stability Insights

Neal Robinson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

PRUDENTIAL SELECT STRATEGIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/14/2014

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/24/2014

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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