Neil J. Sacks

SACKS & ASSOCIATES

WARREN, NJ 07059

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CRD#: 864757

Professional summary

Neil Jay Sacks is a registered financial advisor currently at SACKS & ASSOCIATES, LLC located in Warren, New Jersey.

Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Neil has worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 7 and Series 24 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.

ZENITH MARKETING GROUP, INC., START: 10/01/2008, 303 W. MAIN STREET, STE. 200 FREEHOLD, NJ 07728, INSURANCE & ANNUITY BROKERAGE FIRM/AGENT, LTC, LIFE AND DISABILITY, 10 HOURS PER MONTH, 5 HOURS PER DAY DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Jay Sacks'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

February 5, 2015 - Present

SACKS & ASSOCIATES, LLC

Office #1: 152 Liberty Corner Road Suite 204, Warren, NJ 07059

RIA

CRD#: 174909

WARREN, NJ

Past

February 12, 2015 - November 12, 2021

MUTUAL SECURITIES, INC.

CRD#: 13092

Bridgewater, NJ

Past

January 3, 2011 - February 2, 2015

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

WOODBRIDGE, NJ

Past

January 3, 2011 - February 2, 2015

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WOODBRIDGE, NJ

Past

April 23, 2003 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

WOODBRIDGE, NJ

Past

April 11, 2000 - September 23, 2000

AETNA FINANCIAL SERVICES, INC.

CRD#: 13255

HARTFORD, CT

Past

April 11, 2000 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WOODBRIDGE, NJ

Past

March 15, 1991 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

March 15, 1991 - April 18, 2000

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

April 27, 1987 - January 19, 1989

PERSHING LLC

CRD#: 7560

Past

November 26, 1984 - December 8, 1986

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

Past

August 16, 1984 - November 16, 1984

SUMMIT EQUITIES, INC.

CRD#: 11039

Past

April 23, 1980 - August 20, 1984

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

February 27, 1979 - May 23, 1980

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

SACKS & ASSOCIATES, LLC

SACKS & ASSOCIATES | SACKS & ASSOCIATES, LLC

CRD#: 174909 / SEC#: 801-80934

RIA

Registered Investment Advisory firm - (2/3/2015 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

New Jersey
(2/5/2015)

IAR

Texas
(10/26/2021)

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 65

Date: 6/29/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/17/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/14/1991

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 2/17/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/2004

General Securities Principal Examination

Current Firm

SACKS & ASSOCIATES, LLC

SACKS & ASSOCIATES | SACKS & ASSOCIATES, LLC

CRD#: 174909 / SEC#: 801-80934

RIA

Registered Investment Advisory firm - (2/3/2015 Approved)

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Contact information

Main Address

152 Liberty Corner Road Suite 204, Warren, NJ 07059

Mailing Address

Phone number

(908) 864-4950

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SACKS & ASSOCIATES WRAP FEE PROGRAM BROCHURE (11/4/2025)

SACKS & ASSOCIATES PART 2A (11/4/2025)

Regulatory assets under management

Total Number of Accounts	365
AUM (Assets Under Management)	$ 196,135,136

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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Neil J. Sacks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Jay Sacks's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

AETNA FINANCIAL SERVICES, INC.

VOYA FINANCIAL PARTNERS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

PERSHING LLC

JOHN HANCOCK DISTRIBUTORS LLC

SUMMIT EQUITIES, INC.

L. F. ROTHSCHILD & CO. INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

SACKS & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/1999

Series 63

Date: 7/17/1991

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 3/14/1991

Series 7

Date: 2/17/1979

Series 24

Date: 4/30/2004

Current Firm

SACKS & ASSOCIATES, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SACKS & ASSOCIATES, LLC

TRUST BUT VERIFY

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