Neal Huffman

GRADIENT ADVISORS

Aurora, CO 80014

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CRD#: 6617487

Professional summary

Neal Huffman, who also goes by Neal Gordon Huffman, is a registered financial advisor currently at GRADIENT ADVISORS, LLC located in Aurora, Colorado.

Neal is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Neal has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neal Gordon Huffman

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.Transitions Financial, LLC; Investment Related; 3131 S Vaughn Way Suite 250 Aurora CO 80014; Managing Member/Owner; Investment Advisor Representative; 08/2024; 80hrs/mo;80hrs/mo during trading; Advisory Services 2. Heartland Retirement Group/ American Senior Benefits LLC; Investment Related; 3131 S Vaughn Way Suite 250 Aurora CO 80014;Member; Agent; 03/2024; 80hrs/mo; 80hrs/mo during trading; Insurance Services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal Huffman'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

September 4, 2024 - Present

GRADIENT ADVISORS, LLC

Office #1: 3131 S Vaughn Way Suite 250, Aurora, CO 80014

RIA

CRD#: 152665

Aurora, CO

Past

March 8, 2023 - September 3, 2024

ROYAL FUND MANAGEMENT, LLC

RIA

CRD#: 144434

Lone Tree, CO

Past

January 28, 2020 - January 31, 2023

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

ENGLEWOOD, CO

Past

April 6, 2018 - January 31, 2023

PRUCO SECURITIES, LLC.

CRD#: 5685

ENGLEWOOD, CO

Past

January 8, 2018 - March 21, 2018

NYLIFE SECURITIES LLC

CRD#: 5167

DENVER, CO

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".

GRADIENT ADVISORS, LLC

CRD#: 152665 / SEC#: 801-71000

RIA

Registered Investment Advisory firm - (2/10/2010 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(9/4/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 12/15/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/22/2020

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/6/2018

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GRADIENT ADVISORS, LLC

CRD#: 152665 / SEC#: 801-71000

RIA

Registered Investment Advisory firm - (2/10/2010 Approved)

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Contact information

Main Address

4105 Lexington Avenue N. Suite 225, Arden Hills, MN 55126

Mailing Address

Phone number

(877) 885-0508

Established

Firm type

Fiscal year end

# of Employees

169

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B 10-2025 (10/21/2025)

Regulatory assets under management

Total Number of Accounts	3,222
AUM (Assets Under Management)	$ 218,611,410

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

Neal Huffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ROYAL FUND MANAGEMENT, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

GRADIENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/15/2020

Series 65

Date: 1/22/2020

SIE

Date: 10/1/2018

Series 6

Date: 1/6/2018

Current Firm

GRADIENT ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRADIENT ADVISORS, LLC

TRUST BUT VERIFY

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