NW
CFP
NW
CFP

Neil Ray Waxman

41 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
685 advisors
Number of Clients
17,698 clients
Average Client Portfolio
$492K average
Assets Under Management
$8.7B

Fee Structure

Financial Planning:Included in AUM fee
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Location

1115 Tower East, 20600 Chagrin Boulevard, Shaker Heights, OH, 44122

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History

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.

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Other Business ActivitiesSells Insurance

Neil is an IA rep and owner of Capital Advisors, LTD, LLC, dedicating nearly full-time hours to this role. He is also an insurance agent through Capital Advisors, LLC, spending minimal time on this activity.

Employment History
Current Registrations
Capital Analysts
July 2012 - Present · 13 yrs 7 mos
Lincoln Investment
June 2012 - Present · 13 yrs 8 mos
Lincoln InvestmentBroker
June 2012 - Present · 13 yrs 8 mos
Capital Advisors, LTD., LLC
June 2010 - Present · 15 yrs 8 mos
Previous Registrations
Capital Analysts Incorporated
November 1999 - June 2012 · 12 yrs 7 mos
Capital Analysts, IncorporatedBroker
December 1983 - June 2012 · 28 yrs 6 mos
State Registrations26 states
AZCACOCTFLGAHIIDILINKYMINCNHNJNVNYOHPARISCTNTXUTVAWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Neil Ray Waxman - Financial Advisor | TrueAdvisor