Unclaimed Profile

Neil Ray Waxman

CAPITAL ADVISORS, LTD., LLC·SHAKER HEIGHTS, Ohio

SIE, Series 7, Series 63CFPClean record26 years registeredCAPITAL ADVISORS, LTD., LLC

20600 CHAGRIN BLVD SUITE 1115, SHAKER HEIGHTS, OH 44122CRD# 1219415Firm CRD# 153600

Profile Verification

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

Identity

Neil Ray Waxman · SHAKER HEIGHTS, OH

Registration

CRD #1219415 · CAPITAL ADVISORS, LTD., LLC · 26 years registered

Brand Profile

Not yet started

Career History

CAPITAL ANALYSTS

Jul 2012 – present

LINCOLN INVESTMENT

Jun 2012 – present

CAPITAL ADVISORS, LTD., LLC

Jun 2010 – present

CAPITAL ANALYSTS INCORPORATED

Nov 1999 – Jun 2012

SHAKER HEIGHTS, OH

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Registration record

First registered · November 26, 1999

Years registered · 26

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CAPITAL ADVISORS, LTD., LLC

CRD 153600 · SEC 801-71559

AUM

$1.1B

Regulatory assets under management

Employees

995 client accounts

Services offered by CAPITAL ADVISORS, LTD., LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at CAPITAL ADVISORS, LTD., LLC →

Introduction

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Frequently Asked Questions

What services does Neil Ray Waxman offer?

Neil Ray Waxman specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SHAKER HEIGHTS, Ohio for a consultation.

What are Neil Ray Waxman's credentials?

Neil Ray Waxman holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Neil Ray Waxman located?

Neil Ray Waxman is based in SHAKER HEIGHTS, Ohio, working with CAPITAL ADVISORS, LTD., LLC. Their office serves clients in the SHAKER HEIGHTS metropolitan area and surrounding communities.

How does Neil Ray Waxman charge for services?

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

How large is CAPITAL ADVISORS, LTD., LLC?

CAPITAL ADVISORS, LTD., LLC has approximately 14 employees and manages $1.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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