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Neal Smith
24 Years of Experience
Chicago, IL
1 Disclosure
Neal Smith is a registered investment advisor at Cerity Partners Retirement Plan Consultants, based in Chicago, IL, with 24 years of industry experience. Neal operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Retirement Planning. Their firm serves 850 clients with $40B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
82 advisors
Number of Clients
850 clients
Average Client Portfolio
$47.4M average
Assets Under Management
$40.3B
Fee Structure
Investment management only (planning not offered)
Minimum Annual Fee:$15,000
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Location
320 S. Canal St., 44th Floor, Chicago, IL, 60606
Get directionsHistory
Regulatory History (1)
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Criminal
August 1994Final Disposition
Employment History
Current Registrations
Cerity Partners Retirement Plan Consultants
July 2019 - Present · 7 yrs 3 mos
Previous Registrations
Voya Financial Partners, LLC
April 2016 - May 2018 · 2 yrs 1 mo
Voya Financial Partners, LLCBroker
April 2016 - May 2018 · 2 yrs 1 mo
Nuveen Asset Management, LLC
September 2011 - April 2016 · 4 yrs 7 mos
Nuveen Fund Advisors, INC.
March 2007 - September 2011 · 4 yrs 6 mos
Nuveen Securities, LLCBroker
October 2006 - April 2016 · 9 yrs 6 mos
Ing Financial Advisers, LLCBroker
April 2002 - September 2006 · 4 yrs 5 mos
Cna Investor Services, INC.Broker
September 2001 - December 2001 · 3 mos
Scudder Distributors, INC.Broker
October 2000 - August 2001 · 10 mos
State Registrations1 state
IL
Advisor
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Exams
No exam information available for this advisor.
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