DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Neal Joseph Mckenna
Feed of 09/14/2026
Also filed as Neal Mckenna
At current firm
9 y
since Dec 12, 2016
In the industry
20 y
since Oct 24, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Santander Securities BD affiliated currentsince Dec 12, 2016 · Boston, Ma
- Td Ameritrade Investment Management, LLC formerMay 12, 2015 to Oct 4, 2016 · Peabody, Ma
- Td Ameritrade, Inc. formerMay 12, 2015 to Oct 4, 2016 · Burlington, Ma
- Banc Of America Investment Services, Inc. unclassifiedJul 16, 2007 to Oct 23, 2009 · Marblehead, Ma
- Cetera Investment Services LLC formerOct 24, 2005 to Jul 12, 2007 · Haverhill, Ma
Moves
a registration end followed by a registration begin elsewhere
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Oct 4, 2016, registered May 12, 2015 (-511 days) · channel change inside one enterprise, not a move
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Oct 4, 2016, registered May 12, 2015 (-511 days) · Other
- Banc Of America Investment Services, Inc. to Td Ameritrade, Inc.left Oct 23, 2009, registered May 12, 2015 (2027 days) · Other
- Cetera Investment Services LLC to Banc Of America Investment Services, Inc.left Jul 12, 2007, registered Jul 16, 2007 (4 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address