David Charles Neff
AIF®, CFP®Professional Summary
David Charles Neff, AIF®, CFP® is a registered financial advisor currently at CLG LLC located in Cerritos, California and PURSHE KAPLAN STERLING INVESTMENTS located in Cerritos, California. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Credentials
Years of Experience
30 years in the financial services industry
Current & Past Employments
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Current Firm
CLG LLC | MORAN, HEISING, MCELRAVEY & SOWDER LLC | LEGACY FINANCIAL | INTEGRITY FINANCIAL ADVISORS, LLC | COPIAM ASSET MANAGEMENT | CLG WEALTH MANAGEMENT
Contact Information
Main Address
4821 E 2nd Street, Long Beach, CA 90803Phone Number
(310) 329-5150# of Employees
35SEC notice filing (23 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,771AUM (Assets Under Management)
$1,123,681,197Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Primary Firm SEC Registration
CLG LLC | MORAN, HEISING, MCELRAVEY & SOWDER LLC | LEGACY FINANCIAL | INTEGRITY FINANCIAL ADVISORS, LLC | COPIAM ASSET MANAGEMENT | CLG WEALTH MANAGEMENT
State Registrations and Notice Filings
(1/2/2024)
(1/2/2024)
(1/30/2017)
(1/2/2024)
(1/2/2024)
(12/16/2025)
(1/2/2024)
(1/2/2024)
(1/2/2024)
(9/30/2026)
(1/2/2024)
(9/30/2026)
(1/2/2024)
(1/2/2024)
(1/2/2024)
(1/2/2024)
(1/2/2024)
(1/3/2024)
(1/2/2024)
(1/2/2024)
(1/2/2024)
(1/2/2024)
(1/2/2024)
(2/27/2018)
(1/2/2024)
(1/2/2024)
(3/19/2026)
(1/2/2024)
(1/2/2024)
(1/2/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2024About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1996About the Series 6 examSRO Registrations
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
CRS (Client Relationship Summary) - RIA
Click below to view David Charles Neff's CRS (Customer Relationship Summary).
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
