Neil McInnis has been an investment adviser representative at Pension & Wealth Management Advisors since June 2026, and is not listed among the firm’s executive officers or direct owners.
Pension & Wealth Management Advisors, Inc. is a Waltham, MA firm with $530M under management, 523 clients and 9 advisers in one office, as of its May 2026 filing.
Neil McInnis’ longest registration was 14 years at Pension & Wealth Management (2006–2020). Before joining Pension & Wealth Management Advisors in 2026, Neil McInnis was registered through Kastel Capital Advisors, LLC and Bay Colony Advisors.
- – present · under a yearWaltham, MA · Adviser representative · Firm CRD 309546
- – · 5 yearsWaltham, MA · Adviser representative · Firm CRD 309546
- Kastel Capital Advisors, LLC– · 1 yearWaltham, MA · Adviser representative · Firm CRD 226520
- Bay Colony Advisors– · 1 yearWaltham, MA · Adviser representative · Firm CRD 152583
- Pension & Wealth Management– · 14 yearsWaltham, MA · Adviser representative · Firm CRD 139640
- Royal Alliance Associates, Inc.– · 14 yearsWaltham, MA · Adviser representative · Firm CRD 23131
Investment adviser representative registrations
Neil McInnis is registered as an investment adviser representative in Massachusetts, since June 2026.
- MassachusettsSince 1 June 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 19 March 2001 |
| Series 65 | Uniform Investment Adviser Law Examination | 18 January 2000 |
| Series 22 | Direct Participation Programs Representative Examination | 17 July 1989 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 January 1989 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 25 June 1986 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Neil Graham McInnis
- CRD
- 1521962
- Firm
- Pension & Wealth Management Advisors · CRD 309546
- Office
- 800 SOUTH STREET, SUITE 160, Waltham, MA 02453
- Registration
- Investment adviser registration
- In the industry since
- May 1987
- Disciplinary history
- Not yet shown here · SEC record
Where does Neil McInnis work?
Neil McInnis is an investment adviser representative registered through Pension & Wealth Management Advisors, Inc. since June 2026, and is not listed among the firm’s executive officers or direct owners.
Is Neil McInnis a financial advisor?
Yes. Neil McInnis has a current investment-adviser registration in Massachusetts, through Pension & Wealth Management Advisors since June 2026.
How many years of experience does Neil McInnis have?
Neil McInnis has 39 years in the financial industry, since May 1987, across 5 adviser firms.
What exams has Neil McInnis passed?
Neil McInnis has passed 5 licensing exams: the Series 6, Series 63, Series 22, Series 65 and Series 7. The earliest, the Series 6, was passed in June 1986. FINRA credited Neil McInnis with the SIE, which began in October 2018.
Where did Neil McInnis work before Pension & Wealth Management Advisors?
Before Pension & Wealth Management Advisors, Neil McInnis was registered through Kastel Capital Advisors, LLC, July 2019 to December 2020; Bay Colony Advisors, January 2018 to July 2019; Pension & Wealth Management, March 2006 to December 2020; Royal Alliance Associates, Inc., October 2003 to December 2017.
Where is Neil McInnis based?
Neil McInnis’ registered office is in Waltham, MA.
Is Neil McInnis registered with FINRA?
No. Neil McInnis has no current broker registration.
How can I verify Neil McInnis’ record?
Search CRD 1521962 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Neil McInnis’ full registration record.
