CN
Charles A. Neff
CETERA INVESTMENT ADVISERS LLC
Long Beach, CA
Some features on this profile are disabled
CRD#: 345628
CN
Professional summary
Charles Alan Neff, who also goes by Chuck Neff, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Long Beach, California and CETERA WEALTH SERVICES, LLC located in Long Beach, California.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1964. Charles has worked at 7 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 1, Series 27, Series 24, F04 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chuck Neff
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.
1. NAME OF OTHER BUSINESS: REAL ESTATE INVESTMENT RELATED: NO ADDRESS: HUME, CA 93628 NATURE OF BUSINESS: OWNER OF TIMESHARE THAT IS RENTED OUT START DATE: 8/2001 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: KEEP PROPERTY IN RENTABLE CONDITION; 2. NAME OF OTHER BUSINESS: LUCILLE MCCONNELL GUSTAFSON MD TRUST INVESTMENT RELATED: NO ADDRESS: 16815 BELLFLOWER BLVD, BELLFLOWER CA 90706 NATURE OF BUSINESS: FIDUCIARY ROLE START DATE: 1/1989 POSITION/TITLE/RELATIONSHIP: TTEE/BOARD MEMBER APX NUMBER OF HOURS PER WEEK: .5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: 1 OF 8 TRUSTEES THAT MANAGE THE AFS A/C WHICH WAS SET UP TO SUPPORT CHILD EVANGELISM FELLOWSHIP OF SO. CA; 3. NAME OF OTHER BUSINESS: CHILD EVANGELISM FELLOWSHIP OF SO CA INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: EVANGELISIM OF CHILDREN START DATE: 01/1989 POSITION/TITLE/RELATIONSHIP: COMMITTEE/BOARD MEMBER APX NUMBER OF HOURS PER WEEK: .5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MEET APPR 3 HRS PER MO. $0 COMPENSATION. RESPONSIBLE FOR HIRING THE DIRECTOR AND OVER SEEING THE ACTIVITIES OF THE CHAPTER;
CRS (Client Relationship Summary) - RIA
Click below to view Charles Alan Neff's 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®
NoneExperience
Current
January 13, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Long Beach, CA
Current
February 23, 2024 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Long Beach, CA
Past
January 3, 2024 - February 27, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Cerritos, CA
Past
June 29, 2023 - December 31, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
CERRITOS, CA
Past
February 27, 2018 - January 19, 2024
CLG LLC
RIA
CRD#: 282605
Cerritos, CA
Past
July 8, 1997 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CERRITOS, CA
Past
November 29, 1983 - December 31, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CERRITOS, CA
Past
November 30, 1972 - February 10, 1986
BRIARWOOD INVESTMENT COUNSEL
BD
CRD#: 6368
Past
August 25, 1971 - September 14, 1972
WEST COAST SECURITIES
BD
CRD#: 3746
Past
May 7, 1964 - October 10, 1971
SHEARSON, HAMMILL & CO., INCORPORATED
BD
CRD#: 766
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.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
Alabama(2/23/2024)
RR
Arizona(2/23/2024)
RR
California(2/23/2024)
IAR
California(1/13/2025)
RR
Colorado(2/23/2024)
RR
Connecticut(2/23/2024)
RR
Florida(2/23/2024)
RR
Idaho(2/23/2024)
RR
Illinois(2/23/2024)
RR
Missouri(2/23/2024)
RR
Montana(2/23/2024)
RR
Nevada(2/23/2024)
RR
North Carolina(2/23/2024)
RR
Pennsylvania(2/23/2024)
RR
South Dakota(2/23/2024)
RR
Tennessee(2/23/2024)
RR
Texas(2/23/2024)
IAR
Texas(1/13/2025)
RR
Utah(2/23/2024)
RR
Virginia(2/23/2024)
RR
Washington(2/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/4/1964
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
F04
Date: 11/20/1972
Financial Principal ExaminationPrincipal/Supervisory Exam
RR
Series 00
Date: 10/16/1972
General Securities Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
