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GEORGE WAYNE NEILL
G WAYNE NEILL
CRD#: 1508585
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 10751 N FRANK LLOYD WRIGHT BLVD STE 103
SCOTTSDALE, AZ 85259
SCOTTSDALE, AZ 85259
CETERA ADVISOR NETWORKS LLCCRD#: 13572 10751 N FRANK LLOYD WRIGHT BLVD STE 103
SCOTTSDALE, AZ 85259
SCOTTSDALE, AZ 85259
0
Disclosures
37
Years of Experience
View By:
State Registrations
B
Arizona 2/10/1992
B
North Carolina 7/7/2020
IA
Arizona 6/29/2023
B
Ohio 7/3/2018
B
California 1/25/1994
B
Oregon 8/9/2012
B
Colorado 1/21/2014
B
Texas 5/19/2009
B
Georgia 10/25/2017
IA
Texas 6/29/2023
B
Illinois 4/11/1994
B
Washington 1/6/2009
B
Kentucky 1/7/2020
B
Wisconsin 4/26/2016
B
Missouri 8/4/2022
B
Wyoming 5/19/2009
B
Nevada 8/29/2018
SRO Registrations
B
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IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 2/10/1992
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/02/2002 - 06/29/2023 | SCOTTSDALE, AZ | |
B | 01/03/1991 - 02/13/1992 | SCOTTSDALE, AZ | |
B | 11/07/1988 - 01/16/1991 | DALLAS, TX | |
B | 11/29/1988 - 06/02/1989 | ||
B | 03/19/1987 - 01/21/1988 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.