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Nuthira Neal

Nuthira Neal

NN INVESTMENT ADVISORY
SANTA BARBARA, CA
Some features on this profile are disabled
CRD#: 7119728
Nuthira Neal

Professional summary

Nuthira Neal is a registered financial advisor currently at NN INVESTMENT ADVISORY, LLC located in Santa Barbara, California.

Nuthira is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Nuthira has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nuthira Neal'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

July 29, 2024 - Present

NN INVESTMENT ADVISORY, LLC

RIA
CRD#: 332240
SANTA BARBARA, CA
Past

August 6, 2019 - June 8, 2024

EDWARD JONES

RIA
CRD#: 250
Santa Barbara, CA
Past

July 15, 2019 - June 8, 2024

EDWARD JONES

BD
CRD#: 250
Santa Barbara, 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
California
(7/29/2024)
IAR
Texas
(7/29/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/3/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/13/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/18/2019
Securities Industry Essentials Examination

Current Firm

NI
NN INVESTMENT ADVISORY, LLC
NN INVESTMENT ADVISORY, LLC

CRD#: 332240 / SEC#: 801-130797

RIA
Registered Investment Advisory firm - (12/4/2024 Terminated)
California
Registered Investment Advisory firm - (11/27/2024 Approved)
Texas
Registered Investment Advisory firm - (10/30/2024 Conditional Restricted)
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Contact information

Main Address
Santa Barbara, CA
Mailing Address
Phone number
(917) 673-2324
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts60
AUM (Assets Under Management)$ 5,590,000

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.

Company Information

NN INVESTMENT ADVISORY, LLC

CRD#: 332240Santa Barbara, CA

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