Charles A. Neff
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Alan Neff, who also goes by Chuck Neff, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1964. Charles had 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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2025 - January 7, 2026
CETERA INVESTMENT ADVISERS LLC
February 23, 2024 - January 7, 2026
CETERA WEALTH SERVICES, LLC
January 3, 2024 - February 27, 2024
PURSHE KAPLAN STERLING INVESTMENTS
June 29, 2023 - December 31, 2023
CETERA INVESTMENT ADVISERS LLC
February 27, 2018 - January 19, 2024
CLG LLC
July 8, 1997 - June 29, 2023
CETERA WEALTH SERVICES, LLC
November 29, 1983 - December 31, 2023
CETERA WEALTH SERVICES, LLC
November 30, 1972 - February 10, 1986
BRIARWOOD INVESTMENT COUNSEL
August 25, 1971 - September 14, 1972
WEST COAST SECURITIES
May 7, 1964 - October 10, 1971
SHEARSON, HAMMILL & CO., INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 5/4/1964
Registered Representative ExaminationF04
Date: 11/20/1972
Financial Principal ExaminationSeries 00
Date: 10/16/1972
General Securities Principal ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
