Unclaimed Profile

Thomas Neff

RINA WEALTH MANAGEMENT SERVICES LLC·WALNUT CREEK, California

Series 65Clean record8 years registeredRINA WEALTH MANAGEMENT SERVICES LLC

201 NORTH CIVIC DR., WALNUT CREEK, CA 94596CRD# 6880502Firm CRD# 288688

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Neff · WALNUT CREEK, CA

Registration

CRD #6880502 · RINA WEALTH MANAGEMENT SERVICES LLC · 8 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: RINA WEALTH MANAGEMENT SERVICES LLC

RINA WEALTH MANAGEMENT SERVICES LLC

Dec 2017 – Dec 2022

Oakland, CA

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · December 7, 2017

Years registered · 8

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

RINA WEALTH MANAGEMENT SERVICES LLC

CRD 288688 · SEC 801-121226

AUM

$206M

Regulatory assets under management

Employees

452 client accounts

Services offered by RINA WEALTH MANAGEMENT SERVICES LLC

Per Form ADV

Financial planning

Client types served by the firm

Per Form ADV

High Net Worth Individuals

View all advisors at RINA WEALTH MANAGEMENT SERVICES LLC →

Introduction

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Frequently Asked Questions

What services does Thomas Neff offer?

Thomas Neff specializes in Financial Planning.

What are Thomas Neff's credentials?

Thomas Neff is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas Neff located?

Thomas Neff is based in WALNUT CREEK, California, last registered with RINA WEALTH MANAGEMENT SERVICES LLC.

How does Thomas Neff charge for services?

Thomas Neff's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RINA WEALTH MANAGEMENT SERVICES LLC?

RINA WEALTH MANAGEMENT SERVICES LLC has approximately 3 employees and manages $206M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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