Brian K Neff

Employer firm

Fiduciary Wealth Management, LLC. CRD 166501

$5.54M regulatory AUM 61 advisory clients

Reported services (Item 5G)

Financial planning
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Fiduciary Wealth Management, Llc.

Little Elm, TX • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2014-10-07
TX	RA	APPROVED	2013-02-14

OH RA
APPROVED

Since 2014-10-07
TX RA
APPROVED

Since 2013-02-14

Branch Locations

Little Elm, TX • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Little Elm, Tx 75068	Little Elm	TX	01/2006	03/2019
Fiduciary Wealth Management, Llc	Little Elm	TX	06/2017	Present

01/2006 → 03/2019

Little Elm, Tx 75068

Little Elm, TX
06/2017 → Present

Fiduciary Wealth Management, Llc

Little Elm, TX

Other Businesses

I, BRIAN K. NEFF SR., AM PRESIDENT OF THE INSURANCE SUITE, LLC., A FULL SERVICE INSURANCE BROKERAGE. THIS BUSINESS IS NOT INVESTMENT-RELATED. THE ADDRESS OF THIS AGENCY IS 3928 GUSTON HALL CT., PLANO, TEXAS 75025. THIS BUSINESS IS ACTIVE IN GAINING NEW INSURANCE CLIENTS. I, WITH MY SPOUSE, STARTED THIS COMPANY IN 2006. I DEVOTE MORE THAN 10 HOURS PER WEEK, BUT LESS THAN 1 HOUR PER DAY DURING SECURITIES TRADING HOURS. I ACTIVELY WRITE NEW LIFE, HEALTH, AUTO, HOME AND FIXED RETIREMENT PLANS WITH NEW AND EXISTING CLIENTS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-08-29
S63	Uniform Securities Agent State Law Examination	2005-12-07

S65 Uniform Investment Adviser Law Examination

2012-08-29
S63 Uniform Securities Agent State Law Examination

2005-12-07

View on SEC IAPD