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Vincent Neal
VINCE NEAL, VINCENT LAVON NEAL, Vincent L Neal, Vincent LaVonne Neal
CRD#: 4343914
IA
Investment Adviser
B
Broker
COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 4715 Viewridge Ave
Suite 250
San Diego, CA 92123
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2005 - 2006 (1 year)2 FIRMS2007 - 2011 (3 years)4 FIRMS2016 - 2019 (3 years)2 FIRMS2019 - 2020 (<1 year)11 FIRMS2020 - 2021 (1 year)2 FIRMS2022 - Present (2 years)BSUMMIT BROKERAGE SERVICES, INC. (CRD# 34643)2017 - 2019 (2 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2014 - 2019 (5 years)BGIRARD SECURITIES, INC. (CRD# 18697)2015 - 2017 (2 years)BVSR FINANCIAL SERVICES, INC. (CRD# 14503)2016 - 2016 (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2011 - 2014 (3 years)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2006 - 2011 (5 years)BADVANTAGE CAPITAL CORPORATION (CRD# 146)2007 - 2009 (1 year)BAMERICAN GENERAL SECURITIES IN... (CRD# 13626)2007 - 2008 (1 year)BAMERICAN FAMILY SECURITIES, LLC (CRD# 104433)2004 - 2005 (<1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2002 - 2004 (2 years)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2015 - 2019 (4 years)
Disclosure(s)
View By:
1/7/2005
Employment Separation After Allegations
License(s)

State Registrations

IA
California 4/13/2022

B
California 4/14/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
4715 Viewridge Ave Suite 250, San Diego, CA 92123
Vista, CA
Registered with this firm since 4/13/2022

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COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
4715 Viewridge Ave Suite 250, San Diego, CA 92123
Vista, CA
Registered with this firm since 4/13/2022

Previous Registration(s)
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IA
09/18/2020 - 12/06/2021 TRIAD ADVISORS, LLC (CRD#:25803) ATLANTA, GA
IA
08/27/2020 - 12/06/2021 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
IA
08/27/2020 - 12/06/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
IA
08/27/2020 - 12/06/2021 SAGEPOINT FINANCIAL, INC. (CRD#:133763) PHOENIX, AZ
IA
08/27/2020 - 12/06/2021 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) OAKDALE, MN
B
09/18/2020 - 12/06/2021 SECURITIES AMERICA, INC. (CRD#:10205) LAVISTA, NE
B
09/18/2020 - 12/06/2021 TRIAD ADVISORS LLC (CRD#:25803) ATLANTA, GA
B
08/27/2020 - 12/06/2021 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
08/27/2020 - 12/06/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
08/27/2020 - 12/06/2021 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SCOTTSDALE, AZ
B
08/27/2020 - 12/06/2021 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) OAKDALE, MN
IA
09/30/2019 - 08/14/2020 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) SAN DIEGO, CA
B
09/30/2019 - 08/14/2020 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) SAN DIEGO, CA
IA
03/04/2015 - 09/26/2019 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) SAN DIEGO, CA
B
06/22/2017 - 09/26/2019 SUMMIT BROKERAGE SERVICES, INC. (CRD#:34643) San Diego, CA
B
05/19/2016 - 09/26/2019 CETERA ADVISOR NETWORKS LLC (CRD#:13572) SAN DIEGO, CA
B
05/19/2016 - 09/26/2019 CETERA ADVISORS LLC (CRD#:10299) SAN DIEGO, CA
B
05/19/2016 - 09/26/2019 CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358) SAN DIEGO, CA
B
05/19/2016 - 09/26/2019 CETERA INVESTMENT SERVICES LLC (CRD#:15340) SAN DIEGO, CA
B
03/26/2014 - 09/26/2019 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
B
10/26/2015 - 11/01/2017 GIRARD SECURITIES, INC. (CRD#:18697) SAN DIEGO, CA
B
06/27/2016 - 11/09/2016 VSR FINANCIAL SERVICES, INC. (CRD#:14503) San Diego, CA
B
10/06/2011 - 10/01/2014 LPL FINANCIAL LLC (CRD#:6413) SAN DIEGO, CA
B
10/09/2007 - 09/06/2011 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
10/09/2007 - 09/06/2011 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
09/12/2006 - 09/06/2011 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SCOTTSDALE, AZ
B
10/09/2007 - 03/03/2009 ADVANTAGE CAPITAL CORPORATION (CRD#:146) ATLANTA, GA
B
10/09/2007 - 10/29/2008 AMERICAN GENERAL SECURITIES INCORPORATED (CRD#:13626) PHOENIX, AZ
B
03/10/2005 - 09/08/2006 METLIFE SECURITIES INC. (CRD#:14251) MESA, AZ
B
03/10/2005 - 09/08/2006 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) MESA, AZ
B
11/04/2004 - 02/04/2005 AMERICAN FAMILY SECURITIES, LLC (CRD#:104433) MADISON, WI
B
01/10/2002 - 08/26/2004 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
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Broker
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Disclosures
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.