Neil Christopher Guarniere
Investment Adviser Representative at Advice AND Planning Services
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Neil Christopher Guarniere is an investment adviser representative with Advice and Planning Services in Fort Worth, TX, where they have been registered since 2025. They have worked in the securities industry since 2016 and have been registered with 11 firms, including Kestra Advisory Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Texas.
Registrations & licenses
- Investment adviser:
- Texas
- Broker:
51 states and territories
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Foster Financial GroupApr 2015 – Jun 2019Austin, TX
- Lincoln InvestmentApr 2015 – Jun 2019Wyncote, PA
- Lion Street Financial, LLCSep 2019 – Nov 2019Austin, TX
- Lion Street Advisors, LLCSep 2019 – Nov 2019Austin, TX
- Score Priority Corp.Feb 2020 – Feb 2020New York, NY
- Lowenberg Group, LLCMar 2020 – Mar 2020Austin, TX
- Lincoln InvestmentJul 2020 – Sep 2020Fort Washington, PA
- UnemployedApr 2020 – Jun 2020Austin, TX
- Cadaret, Grant & Co., Inc.Oct 2020 – Dec 2021Jericho, NY
- Ameriprise Financial Services, LLCJan 2022 – Jun 2022Richardson, TX
- JPMorgan Chase Bank, N.A.Jul 2022 – Sep 2022Plano, TX
- Wealth Advisory AssociatesOct 2022 – Dec 2022Woodbury, NY
- Integrated Wealth StrategiesJul 2019 – Nov 2019Austin, TX
- UnemployedDec 2019 – Jan 2020Austin, TX
- Cetera Advisor Networks LLCOct 2022 – Dec 2022El Segundo, CA
- J.P. Morgan Securities LLCJan 2023 – Dec 2024Lake Grove, NY
- JPMorgan Chase Bank, N.A.Jan 2023 – Dec 2024Lake Grove, NY
- Capital AnalystsNov 2017 – Jun 2019Wyncote, PA
- Brightside Academy Ohio LLCSep 2020 – Oct 2020Fort Washington, PA
- American Investment Planners LLCOct 2020 – Jan 2022Jericho, NY
- Lincoln InvestmentSep 2015 – Jun 2019Wyncote, PA
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 2025 – Sep 2025Garden CIty, NY
- Bank of America, N.A.Jan 2025 – Sep 2025Garden City, NY
- Kestra Investment Services, LLCSep 2025 – Nov 2025Fort Worth, TX
- Kestra Advisory Services, LLCSep 2025 – Nov 2025Fort Worth, TX
- American Express Financial Advisors Inc.Jan 2022 – Jun 2022Richardson, TX
- Tiaa-cref Individual & Institutional Services, LLCDec 2025 – no end date reportedFrisco, TX
- TIAADec 2025 – no end date reportedFrisco, TX
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Advice AND Planning Services
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Other
- Firm account minimum
- $5,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,648
- Offices listed on AdvisorFinder:
- 26
- Main office:
- New York, NY
- SEC file number:
- 801-63550
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 6, 2026
View full firm profileOther advisors at Advice AND Planning Services
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Neil Christopher Guarniere has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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