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CN

Charles D. Neff

PURSHE KAPLAN STERLING INVESTMENTS
Rockford, IL 61108
Some features on this profile are disabled
CRD#: 2487025
CN

Professional summary

Charles Daniel Neff is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Rockford, Illinois.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1995. Charles has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Charles Daniel 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®
None

Experience

Current

January 4, 2024 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 2205 S. Perryville Rd. Suite 121, Rockford, IL 61108
BD
CRD#: 35747
Rockford, IL
Past

July 8, 1997 - July 29, 2002

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
AGOURA HILLS, CA
Past

January 23, 1995 - December 31, 2023

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
AGOURA HILLS, CA

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(1/4/2024)
RR
California
(1/4/2024)
RR
Colorado
(1/4/2024)
RR
Florida
(1/4/2024)
RR
Idaho
(1/4/2024)
RR
Illinois
(1/16/2024)
RR
Michigan
(1/8/2024)
RR
Montana
(1/4/2024)
RR
Nevada
(1/4/2024)
RR
New Hampshire
(3/26/2024)
RR
New Jersey
(1/4/2024)
RR
New Mexico
(1/4/2024)
RR
North Carolina
(1/4/2024)
RR
Oregon
(2/13/2024)
RR
Pennsylvania
(1/4/2024)
RR
South Dakota
(1/4/2024)
RR
Tennessee
(1/4/2024)
RR
Texas
(1/4/2024)
RR
Utah
(1/4/2024)
RR
Virginia
(1/4/2024)
RR
Washington
(1/4/2024)
RR
Wyoming
(1/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/20/1995
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Rockford, IL 61108

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