Douglas Glenn Neal

Current Employers

Employment History

• 02/2001 → Present
  Lpl Financial, Llc
  Houston, TX
• 10/2002 → Present
  Neal Financial Group, L.P.
  Houston, TX

Other Businesses

(1) 01/10/2002 - REMINGTON INSURANCE GROUP - Non-Variable Insurance - INV REL - AT REPORTED BUSINESS LOCATION - Remington Insurance Group - Outside Non-variable Insurance - 5% TIME SPENT. (2) 01/06/2003 - NO BUSINESS NAME - Registered Investment Advisor - INV REL - AT REPORTED BUSINESS LOCATION - RIA-APPROVED BY LISA - NEAL FINANCIAL GROUP LP Pension Consulting. (3) 02/19/2003 - NO BUSINESS NAME - Non-Variable Insurance - INV REL - AT REPORTED BUSINESS LOCATION - INSURANCE. (4) 12/02/2003 - NO BUSINESS NAME - Non-Variable Insurance - INV REL - AT REPORTED BUSINESS LOCATION - INSURANCE. (5) 04/21/2006 - Neal Financial Group - Non-Variable Insurance - INV REL - AT REPORTED BUSINESS LOCATION - selling fixed insurance products, and health products - Neal Financial Group LP - 20% TIME SPENT. (6) 02/28/2008 - Neal Financial Group LP - Non-Variable Insurance - INV REL - AT REPORTED BUSINESS LOCATION - INSURANCE - Neal Financial Group LP - 10% TIME SPENT. (7) 10/16/2012 - NO BUSINESS NAME - DBA for LPL Business (entity for LPL business) - Neal Financial Group - INV REL - AT REPORTED BUSINESS LOCATION. (8) 06/25/2013 - The Money MakeOver Team - Radio - NOT INV REL - AT REPORTED BUSINESS LOCATION - radio show. (9) 12/26/2018 - Neal Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2019 - 40 Hours Per Month During Securities Trading. (10) 2/9/2021 - Neal Financial Group LP - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Start Date: 01/06/2003 - 5 Hours Per Month/1 Hour During Securities Trading - I provide financial planning and consulting services through Neal Financial Group LP, an independent investment advisor firm. I started this business activity in 12/2020. I expect to spend approximately 10 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. (11) 09/24/2021 - Neal Wealth Properties LLC - Investment Related - Tomball, TX 77377 - Real Estate Rental - Start Date: 09/17/2021 - 5 Hours Per Month/1 Hour During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-05-20
• S63 Uniform Securities Agent State Law Examination
  1983-06-17

Designations