Gary J. Neiens

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CRD#: 860701

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.

Gary Joseph Neiens was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1978. Gary had worked at 6 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

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.

(1)Name of Business: Chris Donley Real Estate Address: 25 sunrise mesa, canon city, CO, 81212, United States Activity Type: Real Estate Brokerage/ Agent or Development Position/Title: Independent Contractor Investment Related: Yes Start Date: 07/16/2018 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Filling in for my sister- in- law (after market hours)when she is absent. from her duties...vacation/sicknes etc. I won't handle money or office duties. I'll just provide real estate sales activities to her clients on a very part time basis. (2)Name of Business: neiens investment Address: 25 sunrise mesa, canon city, CO, 81212, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: Yes Start Date: 04/27/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: owner... receive payroll check

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 2, 2009 - October 10, 2022

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

COLORADO SPRINGS, CO

Past

January 20, 2006 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

COLORADO SPRINGS, CO

Past

September 26, 2005 - October 10, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

COLORADO SPRINGS, CO

Past

July 8, 1997 - October 18, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BAKERSFIELD, CA

Past

May 31, 1994 - October 18, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 24, 1989 - June 3, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 15, 1979 - March 9, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 27, 1978 - June 14, 1979

AMERICAN WESTERN SECURITIES, INC.

CRD#: 7619

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".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 12/16/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 7/16/2004

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 6/4/2004

General Securities Sales Supervisor - General Module Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	1,030,208
AUM (Assets Under Management)	$ 344,868,106,925

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	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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Advisor Monitoring

Firm Stability Insights

Gary J. Neiens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

AMERICAN WESTERN SECURITIES, INC.

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/25/1986

SIE

Date: 10/1/2018

Series 5

Date: 12/11/1982

Series 7

Date: 12/16/1978

Series 9

Date: 7/16/2004

Series 10

Date: 6/4/2004

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

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