David C. Neff

CLG LLC

Cerritos, CA 90703

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CRD#: 2317428

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Charles Neff's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

January 30, 2017 - Present

CLG LLC

Office #1: 17215 Studebaker Road Suite 395, Cerritos, CA 90703

RIA

CRD#: 282605

Cerritos, CA

Current

January 2, 2024 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 17215 Studebaker Rd Suite 395, Cerritos, CA 90703

CRD#: 35747

Cerritos, CA

Past

June 29, 2023 - December 31, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CERRITOS, CA

Past

March 31, 1998 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

CERRITOS, CA

Past

November 20, 1996 - December 31, 2023

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CERRITOS, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CLG LLC

CRD#: 282605 / SEC#: 801-108414

RIA

Registered Investment Advisory firm - (9/29/2016 Approved)

California

Registered Investment Advisory firm - (4/18/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/2/2024)

Arkansas
(1/2/2024)

IAR

California
(1/30/2017)

California
(1/2/2024)

Colorado
(1/2/2024)

Connecticut
(12/16/2025)

Florida
(1/2/2024)

Idaho
(1/2/2024)

Illinois
(1/2/2024)

Iowa
(1/2/2024)

Kansas
(1/2/2024)

Nevada
(1/2/2024)

New Mexico
(1/2/2024)

New York
(1/2/2024)

North Carolina
(1/2/2024)

North Dakota
(1/2/2024)

Ohio
(1/3/2024)

Oklahoma
(1/2/2024)

Oregon
(1/2/2024)

South Carolina
(1/2/2024)

South Dakota
(1/2/2024)

Tennessee
(1/2/2024)

IAR

Texas
(2/27/2018)

Texas
(1/2/2024)

Utah
(1/2/2024)

Virginia
(1/2/2024)

Washington
(1/2/2024)

Wisconsin
(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

State Security Law Exam

IAR

Series 65

Date: 3/2/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/3/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2024

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/10/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/19/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/26/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/25/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CLG LLC

CRD#: 282605 / SEC#: 801-108414

RIA

Registered Investment Advisory firm - (9/29/2016 Approved)

California

Registered Investment Advisory firm - (4/18/2018 Terminated)

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Contact information

Main Address

4821 E 2nd Street, Long Beach, CA 90803

Mailing Address

Phone number

(310) 329-5150

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (2/9/2026)

Regulatory assets under management

Total Number of Accounts	2,771
AUM (Assets Under Management)	$ 1,123,681,197

Red Flags

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.

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Firm Stability Insights

David C. Neff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Charles Neff's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

CLG LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2017

Series 63

Date: 12/3/1996

Series 52TO

Date: 1/2/2024

SIE

Date: 10/1/2018

Series 7

Date: 12/10/1997

Series 6

Date: 11/19/1996

Series 53

Date: 2/26/2003

Series 24

Date: 2/25/1998

FINRA

Current Firm

CLG LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLG LLC

TRUST BUT VERIFY

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