Wirt Thomas Neale

Employer firm

Neale Financial, LLC CRD 153787

$46.6M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

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

Current Employers

Neale Financial, Llc

Mount Pleasant, SC • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-08-05
GA	RA	APPROVED	2022-09-14
SC	RA	APPROVED	2014-01-02
NC	RA	APPROVED	2010-06-07

TX RA
APPROVED_RES

Since 2024-08-05
GA RA
APPROVED

Since 2022-09-14
SC RA
APPROVED

Since 2014-01-02
NC RA
APPROVED

Since 2010-06-07

Branch Locations

Mount Pleasant, SC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Neale Financial, Llc	Charlotte	NC	02/2010	Present

02/2010 → Present

Neale Financial, Llc

Charlotte, NC

Other Businesses

WIRT NEALE IS ALSO ENGAGED AS A LICENSED INSURANCE AGENT, AND NEALE FINANCIAL, LLC IS ALSO A LICENSED INSURANCE AGENCY THAT BEGAN OPERATIONS IN 3/31/2010. THERE ARE NO OTHER INSURANCE AGENTS LINKED DIRECTLY OR INDIRECTLY TO NEALE FINANCIAL, LLC. THE ADDRESS OF THE INSURANCE AGENCY AND THE REGISTERED INVESTMENT ADVISOR ARE THE SAME. WIRT NEALE DEVOTES APPROXIMATELY 10 HOURS PER WEEK TO INSURANCE RELATED ACTIVITIES, WHILE APPROXIMATELY 30 HOURS PER WEEK ARE DEVOTED TO INVESTMENT RELATED ACTIVITIES.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-03-05
S63	Uniform Securities Agent State Law Examination	1998-12-08

S66 Uniform Combined State Law Examination

2010-03-05
S63 Uniform Securities Agent State Law Examination

1998-12-08

Designations

Certified Financial Planner

Other Names

Wirt Thomas Jr Neale

View on SEC IAPD