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Inactive

Roy Neal

Guardian Rock Wealth Investment Management, Inc.

Lisle, IL

Pinehurst, NC

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Current Employers
Guardian Rock Wealth Investment Management, Inc.

3333 Warrenville Road Suite 200, Lisle, IL 60532 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-04-08
NC RA APPROVED 2022-02-28
  • IL RA
    APPROVED
    Since 2022-04-08
  • NC RA
    APPROVED
    Since 2022-02-28

Branch Locations

3333 Warrenville Road Suite 200, Lisle, IL 60532 • United States

Pinehurst, NC • United States

Disclosures

3 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Thurston Springer Miller Herd & Titak, Inc. Indianapolis IN 11/2015 11/2021
Guardian Rock Wealth Investment Management, Inc. Lisle IL 11/2021 Present
Previous Registrations
  • 2015-11-12 → 2021-11-08
    Thurston, Springer, Miller, Herd & Titak, Inc.
    Pinehurst, NC
    Cincinnati, OH
    Indianapolis, IN
    Indianapolis, IN
    Pinehurst, NC
    Lakeland, FL
    Indianapolis, IN
    Indianapolis, IN
  • 2021-09-13 → 2021-11-08
    Thurston Springer Advisors
    Pinehurst, NC
    Indianapolis, IN
  • 2005-05-31 → 2015-11-12
    Private Client Services, Llc
    Pinehurst, NC
    Louisville, KY
    Cincinnati, OH
    Cincinnati, OH
    Lebanon, KY
  • 2005-05-03 → 2010-05-11
    Woodbury Financial Services, Inc.
    Cincinnati, OH
    Cincinnati, OH
    Pinehurst, NC
  • 1999-08-23 → 2005-05-11
    1717 Capital Management Company
    Cincinnati, OH
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-11-08
S65 Uniform Investment Adviser Law Examination 1995-09-11
  • S63 Uniform Securities Agent State Law Examination
    1995-11-08
  • S65 Uniform Investment Adviser Law Examination
    1995-09-11

View on SEC IAPD

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