Nathaniel K. Neill
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.
Nathaniel K Neill, who also goes by Nathaniel Neill, Nate Neill, Nathaniel K Neill, Nathaniel Kinghart Neill, was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 2015. Nathaniel had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2025 - January 22, 2026
THE MATHER GROUP, LLC
October 20, 2021 - January 2, 2025
CHARLES SCHWAB & CO., INC.
October 20, 2021 - January 2, 2025
CHARLES SCHWAB & CO., INC.
September 25, 2020 - August 17, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 4, 2020 - August 17, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 2015 - July 16, 2020
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
THE MATHER GROUP, LLC
CRD#: 156005 / SEC#: 801-72156
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
THE MATHER GROUP, LLC
CRD#: 156005 / SEC#: 801-72156
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 15,200 |
| AUM (Assets Under Management) | $ 13,446,388,872 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 04/25/2025 | ||
| 08/28/2023 |
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.
