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RIA / WealthAdvisor38 years in industry

HERBERT LEE NEALY

Advisor at RMR WEALTH BUILDERS, INC.

MONTCLAIR, NJ | Bakersfield, CA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 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: RMR WEALTH BUILDERS, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 23, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Dec 23, 1987
First registration: Jul 8, 1997
Dual registered: no
Other names: HERB NEALY|HERBERT L NEALY
IAPD individual key: 1171274

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
RMR WEALTH BUILDERS, INC.	Independent wealth	Nov 29, 2018	n/a	yes	Bakersfield, CA\|MONTCLAIR, NJ	Current employment
CALTON & ASSOCIATES, INC.	Independent wealth	Feb 6, 2014	Feb 23, 2022	no	BAKERSFIELD, CA\|HUNTINGTON BEACH, CA\|BAKERSFIELD, CA\|CARLSBAD, CA\|TAMPA, FL\|Montclair, NJ	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	May 23, 2013	Dec 23, 2013	no	BAKERSFIELD, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Apr 10, 2013	no	BAKERSFIELD, CA\|BAKERSFIELD, CA\|PORTERVILLE, CA\|BAKERSFIELD, CA\|FRESNO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Sep 5, 2006	Jan 3, 2011	no	BAKERSFIELD, CA\|BAKERSFIELD, CA\|BAKERSFIELD, CA\|BAKERSFIELD, CA\|BAKERSFIELD, CA\|PORTERVILLE, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 8, 1997	Nov 25, 2002	no	BAKERSFIELD, CA	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
CALTON & ASSOCIATES, INC.	RMR WEALTH BUILDERS, INC.	Feb 23, 2022	Nov 29, 2018	-1,182	Firm change after gap	Other
SECURITIES AMERICA ADVISORS, INC.	CALTON & ASSOCIATES, INC.	Dec 23, 2013	Feb 6, 2014	45	Firm change	Other
WELLS FARGO ADVISORS	SECURITIES AMERICA ADVISORS, INC.	Apr 10, 2013	May 23, 2013	43	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	WELLS FARGO INVESTMENTS, LLC	Nov 25, 2002	Sep 5, 2006	1,380	Firm change after gap	Other

Relationships

Registered with (6)

→ RMR WEALTH BUILDERS, INC.Registered adviserregistration: current employment
Nov 29, 2018 to presentfactForm ADV
→ CALTON & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 6, 2014 to Feb 23, 2022factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
May 23, 2013 to Dec 23, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Apr 10, 2013factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Sep 5, 2006 to Jan 3, 2011factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 8, 1997 to Nov 25, 2002factForm ADV

Dated events

Occurred
Feb 23, 2022
Advisor changed firm
Herbert Lee Nealy left Calton & Associates, Inc. for Rmr Wealth Builders, Inc. (registered 2018-11-29)
Form ADVobserved 4 days ago