Neil F. Fenning

A5 FINANCIAL LLC

BOTHELL, WA 98021

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CRD#: 6627691

Professional summary

Neil Frederick Fenning is a registered financial advisor currently at A5 FINANCIAL LLC located in Bothell, Washington.

Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Neil has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

A5 Financial LLC; Bothell, WA; Investment Related; Insurance Agent; Fixed Insurance Sales; Started 01/2024; Approximately 80 hours per month spent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Frederick Fenning'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®

None

Experience

Current

March 25, 2025 - Present

A5 FINANCIAL LLC

Office #1: 22722 29th Dr Se Suite 100, Bothell, WA 98021

RIA

CRD#: 334313

BOTHELL, WA

Past

March 4, 2024 - April 15, 2025

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

Bothell, WA

Past

August 13, 2021 - January 5, 2024

DECKER RETIREMENT PLANNING INC.

RIA

CRD#: 284281

Renton, WA

Past

May 4, 2020 - August 3, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Edmonds, WA

Past

December 10, 2019 - August 3, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Edmonds, WA

Past

July 12, 2016 - December 12, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Soquel, CA

Past

June 13, 2016 - December 12, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Soquel, CA

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

Washington
(3/25/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/12/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/20/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/13/2016

General Securities Representative Examination

Current Firm

A5 FINANCIAL LLC

CRD#: 334313 / SEC#:

Washington

Registered Investment Advisory firm - (3/25/2025 Approved)

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Contact information

Main Address

22722 29th Dr Se Suite 100, Bothell, WA 98021

Mailing Address

Phone number

(425) 491-0143

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 6,226,693

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 F. Fenning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

GRADIENT ADVISORS, LLC

DECKER RETIREMENT PLANNING INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2016

Series 7TO

Date: 3/20/2024

SIE

Date: 10/1/2018

Series 7

Date: 6/13/2016

Current Firm

A5 FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

A5 FINANCIAL LLC

TRUST BUT VERIFY

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