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Neal Dryton Smith

Cerity Partners Retirement Plan Consultants

New York, NY

Chicago, IL

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Current Employers
Cerity Partners Retirement Plan Consultants

99 Park Avenue 16Th Floor, New York, NY 10016 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2019-07-02
  • IL RA
    APPROVED
    Since 2019-07-02

Branch Locations

99 Park Avenue 16Th Floor, New York, NY 10016 • United States

320 S. Canal St. 44Th Floor, Chicago, IL 60606 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Voya Financial Lisle IL 03/2016 05/2018
Blue Prairie Group, Llc Chicago IL 08/2018 03/2019
Cerity Partners Retirement Plan Advisors Llc Chicago IL 04/2019 Present
  • 03/2016 → 05/2018
    Voya Financial
    Lisle, IL
  • 08/2018 → 03/2019
    Blue Prairie Group, Llc
    Chicago, IL
  • 04/2019 → Present
    Cerity Partners Retirement Plan Advisors Llc
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-02-28
S63 Uniform Securities Agent State Law Examination 2000-11-15
  • S65 Uniform Investment Adviser Law Examination
    2007-02-28
  • S63 Uniform Securities Agent State Law Examination
    2000-11-15

View on SEC IAPD

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