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Neal Dryton Smith

Cerity Partners Retirement Plan Advisors

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About Neal Dryton Smith

Neal Dryton Smith is an investment advisor representative at Cerity Partners Retirement Plan Advisors, a firm headquartered in New York City. Neal has been an investment advisor for over 15 years, and holds the Series 6, 7, 63, and 65 securities licenses as well as the SIE exam. Neal has been registered as an investment advisor representative in Illinois since 2019.

Firm Information

Neal Smith is currently registered with Cerity Partners Retirement Plan Advisors. Cerity Partners Retirement Plan Advisors is a retirement plan advisory firm based in New York, NY. The firm has 53 investment adviser representatives and specializes in pension consulting, financial wellness coaching and other advisory services. They primarily serve pension and profit-sharing plans (599 clients) and state or municipal government entities (2 clients), managing over $16 billion in assets.
Cerity Partners Retirement Plan Advisors

99 PARK AVENUE

NEW YORK, NY 10016

$16.22B

Assets Under Management

2

Total Clients

10

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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financial wellness coaching

Financial wellness coaching

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Neal Smith’s Registration & Firm History

NY

07/02/2019 - Present

Cerity Partners Retirement Plan Advisors (NEW YORK NY)

IL

04/20/2016 - 05/03/2018

VOYA FINANCIAL PARTNERS, LLC (LISLE IL)

IL

10/10/2006 - 04/06/2016

NUVEEN SECURITIES, LLC (CHICAGO IL)

IL

04/12/2002 - 09/28/2006

ING FINANCIAL ADVISERS, LLC (LISLE IL)

NY

09/19/2001 - 12/31/2001

CNA INVESTOR SERVICES, INC. (NEW YORK NY)

IL

10/20/2000 - 08/09/2001

SCUDDER DISTRIBUTORS, INC. (CHICAGO IL)

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Licenses & Designations

IA

Issued 02/28/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/15/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/03/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/25/2001

Series 7 - General Securities Representative Examination

BC

Issued 10/18/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There is public disclosure for Neal Dryton Smith. Review regulatory record here.
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