Connie Louise Stein Neff

Employer firm

Osaic Advisory Services, LLC CRD 171070

$15.5B regulatory AUM 170 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2007 → 10/2024
  American Portfolios Financial Services, Inc.
  Holbrook, NY
• 10/2024 → Present
  Osaic Wealth, Inc.
  Scottsdale, AZ
• 10/2024 → Present
  Osaic Advisory Services
  Atlanta, GA

Previous Registrations

• 2013-10-22 → 2024-10-11
  American Portfolios Advisors, Inc
  Holbrook, NY

Other Businesses

OFFICE DEPOT POSITION: sales associate NATURE: CLEARANCE MERCHANDISE MANAGEMENT INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2010 ADDRESS: 2327 SE Federal Hwy, Stuart FL 34994, United States DESCRIPTION: price changes to existing clearance items. gather current merchandise going on clearance status and display in clearance area of store. pull merchandise from clearance that is to be donated to charity.

Exams

• S63 Uniform Securities Agent State Law Examination
  2014-02-07
• S65 Uniform Investment Adviser Law Examination
  2013-10-11

Other Names

• Connie L Stein
• Connie L Neff
• Connie L Steinshelley
• Connie L Shelley
• Neff Connie Louise Stein