Neil Hunter-Smith is a registered investment advisor, based in San Ramon, CA, with 2 years of industry experience.
Location
2633 Camino Ramon, Suite 200, San Ramon, CA, 94583
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Neil works as an associate/employee for Summit Financial Group, LLC, assisting with client engagement, investment research, and other advisory functions. This takes about half of Neil's time.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
May 2024 - Present · 2 yrs
Raymond James Financial Services, INC.Broker
May 2024 - Present · 2 yrs
Previous Registrations
Nylife Securities LLCBroker
September 2023 - May 2024 · 8 mos
State Registrations1 state
CA
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.