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John Neely

St. Bernard Financial Services, INC.
50 Years of Experience
Edmond, OK
5 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

John Neely is a registered investment advisor at St. Bernard Financial Services, INC., based in Edmond, OK, with 50 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Estate Planning, Insurance Planning, Investment Management, and 2 more. Their firm serves 798 clients with $140M in assets under management.

St. Bernard Financial Services, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
42 advisors
Number of Clients
798 clients
Average Client Portfolio
$171K average
Assets Under Management
$136.2M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $50K2.00%
$50K - $100K1.75%
$100K - $250K1.50%
$250K - $500K1.25%
$500K - $5.0M1.00%
$5M+1.00%

Fees for accounts over $5 million are negotiable. Clients may alternatively choose a flat fee to be negotiated.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2708 Asheforde Oaks Blvd, Edmond, OK, 73034

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
November 2018
Final
Employment Separation After Allegations
September 2018
Regulatory
July 2007
Final
Customer Dispute
August 2002
Settled
Regulatory
May 1982
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

John receives trails on equity indexed annuities written in 2008 through John Neely Insurance. He also scans real estate properties and performs internet marketing, dedicating minimal time to each activity.

Employment History
Current Registrations
St. Bernard Financial Services, INC.
March 2019 - Present · 7 yrs 7 mos
St. Bernard Financial Services, INC.
March 2019 - Present · 7 yrs 7 mos
St. Bernard Financial Services, INC.Broker
March 2019 - Present · 7 yrs 7 mos
Previous Registrations
Chappelwood Financial Services
November 2018 - March 2019 · 4 mos
Berthel Fisher & Company Financial Services, INC.
August 2009 - September 2018 · 9 yrs 1 mo
Berthel, Fisher & Company Financial Services, INC.Broker
August 2009 - September 2018 · 9 yrs 1 mo
Wfg Advisors, LP
July 2009 - August 2009 · 1 mo
Wfg Investments, INC.Broker
June 2004 - August 2009 · 5 yrs 2 mos
Century Advisors, LLC
March 2004 - September 2009 · 5 yrs 6 mos
Spelman & CO INC
June 1999 - June 2004 · 5 yrs
Spelman & CO., INC.Broker
June 1999 - June 2004 · 5 yrs
Century Investment Group IncorporatedBroker
May 1998 - June 1999 · 1 yr 1 mo
Prudential Securities IncorporatedBroker
July 1992 - June 1998 · 5 yrs 11 mos
Rauscher Pierce Refsnes, INC.Broker
June 1989 - July 1992 · 3 yrs 1 mo
Finser Investment CompanyBroker
January 1987 - June 1989 · 2 yrs 5 mos
Investment Securities of Oklahoma, INC.Broker
May 1979 - January 1987 · 7 yrs 8 mos
Woolsey & Company, IncorporatedBroker
February 1976 - April 1979 · 3 yrs 2 mos
State Registrations2 states
NCOK
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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