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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

NEIL ALAN KNIERIM

Advisor at SYNOVUS SECURITIES, INC.

Birmingham, AL | BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:903b38b3-dc91-85de-7cb5-d579022eeecc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 26, 2010 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SYNOVUS SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 23, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 23, 2010
First registration: Jul 26, 2010
Dual registered: yes, broker-dealer
Other names: NEIL KNIERIM|Neil Alan Knierim
IAPD individual key: 5798541

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SYNOVUS SECURITIES, INC.	Bd affiliated wealth	Jun 5, 2025	n/a	yes	Birmingham, AL\|BIRMINGHAM, AL	Current employment
WELLS FARGO ADVISORS	Wirehouse	Dec 1, 2021	Jan 30, 2024	no	BIRMINGHAM, AL\|BIRMINGHAM, AL	Previous registration
PNC MANAGED ACCOUNT SOLUTIONS, INC.	Former SEC adviser	Apr 5, 2017	Jun 2, 2021	no	Birmingham, AL\|Birmingham, AL\|Birmingham, AL\|Trussville, AL\|BIRMINGHAM, AL\|BIRMINGHAM, AL	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jun 1, 2012	Mar 31, 2017	no	Birmingham, AL	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Apr 2, 2012	May 4, 2012	no	BIRMINGHAM, AL	Previous registration
EDWARD JONES	National bd RIA	Jul 26, 2010	Aug 30, 2011	no	FULTONDALE, AL\|ST LOUIS, MO\|TRUSSVILLE, AL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	SYNOVUS SECURITIES, INC.	Jan 30, 2024	Jun 5, 2025	492	Firm change after gap	Wirehouse to RIA
PNC MANAGED ACCOUNT SOLUTIONS, INC.	WELLS FARGO ADVISORS	Jun 2, 2021	Dec 1, 2021	182	Firm change	Ibd to wirehouse
PRINCIPAL SECURITIES, INC.	PNC MANAGED ACCOUNT SOLUTIONS, INC.	Mar 31, 2017	Apr 5, 2017	5	Firm change	Other
NEW ENGLAND SECURITIES CORPORATION	PRINCIPAL SECURITIES, INC.	May 4, 2012	Jun 1, 2012	28	Firm change	Other
EDWARD JONES	NEW ENGLAND SECURITIES CORPORATION	Aug 30, 2011	Apr 2, 2012	216	Firm change	Other

Relationships

Registered with (6)

→ SYNOVUS SECURITIES, INC.Registered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 1, 2021 to Jan 30, 2024factForm ADV
→ PNC MANAGED ACCOUNT SOLUTIONS, INC.Registered adviserregistration: previous registration
Apr 5, 2017 to Jun 2, 2021factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Jun 1, 2012 to Mar 31, 2017factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Apr 2, 2012 to May 4, 2012factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jul 26, 2010 to Aug 30, 2011factForm ADV

Dated events

Occurred
Jan 30, 2024
Advisor changed firm
Neil Alan Knierim left Wells Fargo Advisors for Synovus Securities, Inc. (registered 2025-06-05)
Form ADVobserved 5 days ago