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Employer Years Dates
First Allied Advisory Services, Inc. 4 years, 1 month Feb 2014 - Present
Sagepoint Financial 5 months Sep 2013 - Feb 2014
Regal Securities 6 years, 2 months Jul 2007 - Sep 2013
Brookstreet Securities Corporation 1 year, 8 months Oct 2005 - Jun 2007
HSA 12 years, 9 months Jun 2005 - Present
Executive Wealth Strategies 16 years, 4 months Nov 2001 - Present
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Neil S Fineman?
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Licenses & Conducts

U.S. Securities and Exchange Commission
  • license status
  • disclosures
  • as of date
    Oct 27, 2015
  • license status
    Not registered
  • disclosures
  • as of date
    Nov 9, 2016
Review the status and details of the disclosures noted above using the SEC's Investment Advisor Public Disclosure website:


First Allied Advisory Services, Inc.

Last updated on Aug. 17, 2017
    • $4.5B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 23K
    • $194.3K
      Estimated Average Account Balance


Types of Compensation Arrangements

  • Percentage Of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
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