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Neal Simon

Director at Soltis Investment Advisors

No current adviser or broker registrationSEC record checked 17 October 2026

3
Past adviser firms
2
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Neal Simon is Director of Soltis Investment Advisors, LLC, a ST. George investment adviser managing $12B. Neal Simon has past investment-adviser registrations through 3 firms and has passed the Series 7 and Series 66.

Role at Soltis Investment Advisors

Title on Schedule A
Director
Control
Neal Simon is not a control person of Soltis Investment Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Neal Simon has held the filed role since August 2024.

The firm

Soltis Investment Advisors, LLC
ST. George, UT

Form ADV filed 9 July 2026

$12B AUM5,414 clients63 advisers20 offices

Career on record

Firms and exams, newest first
  1. Bronfman Rothschild
    – · 4 years
    Rockville, MD · Adviser representative · Firm CRD 168095
  2. Highline Wealth Management, LLC
    – · 9 years
    Bethesda, MD · Adviser representative · Firm CRD 142542
  3. Meltzer Wealth Management
    – · 5 years
    Bethesda, MD · Adviser representative · Firm CRD 121018
  4. Passed Series 7 and Series 66 · 2002

Registrations and exams

No current adviser or broker registration. Neal Simon has passed 2 qualifying exams.

Examinations

Series 663 June 2002
Name
Uniform Combined State Law Examination
Series 71 May 2002
Name
General Securities Representative Examination

Individual record

Full name
Neal Jerry Simon
CRD
1692810
Firm
Soltis Investment Advisors, LLC
Registration status
No current adviser or broker registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Neal Simon work?

Neal Simon has been Director of Soltis Investment Advisors, LLC since August 2024.

Source: Form ADV, Schedule A, filed 9 July 2026

Does Neal Simon have a current investment-adviser registration?

Neal Simon has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Neal Simon passed?

Neal Simon has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in May 2002.

Source: IAPD individual record, checked 17 October 2026

Where was Neal Simon previously registered as an investment adviser?

Neal Simon has past investment-adviser registrations through Bronfman Rothschild, September 2015 to May 2019; Highline Wealth Management, LLC, March 2007 to December 2015; Meltzer Wealth Management, October 2002 to April 2007, across 3 firms.

Source: IAPD individual record, checked 17 October 2026

Leadership at Soltis Investment Advisors

Sources

  1. IAPD individual record, CRD 1692810. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Soltis Investment Advisors, LLC, filed 9 July 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Neal Simon or Soltis Investment Advisors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.