DN
David E. Neate
MARINER ADVISOR NETWORK
Sacramento, CA 95864
Some features on this profile are disabled
CRD#: 4183687
DN
Professional summary
David Earl Neate is a registered financial advisor currently at MARINER ADVISOR NETWORK located in Sacramento, California and LPL FINANCIAL LLC located in Sacramento, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 9 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.
1. 09/14/2022 - Mariner Advisor Network - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/15/2022. 2) 03/11/2025 - Mariner Independent Advisor Network, LLC - Investment Related - Registered Investment Advisor Hybrid - At Reported Business Location(s) - Start Date:01/09/2025 - 160 Hrs/Mth - 8 Hrs During Trading.I provide investment advisory services through Mariner Independent Advisor Network, LLC, an independent investment advisor firm. I started this business activity in 3/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 03/11/2025 - Mariner Independent Advisor Network, LLC - Investment Related - Registered Investment Advisor Hybrid - At Reported Business Location(s) - Start Date:02/10/2025 - 160 Hrs/Mth - 8 Hrs During Trading.I provide investment advisory services through Mariner Independent Advisor Network, LLC, an independent investment advisor firm. I started this business activity in 3/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 06/27/2025 - MSEC - Other - Affiliation with Limited Broker Dealer - Inv Related - At Reported Business Location(s) - Start Date:06/11/2025 - 40 Hrs/Mth - 32 Hrs During Trading
CRS (Client Relationship Summary) - RIA
Click below to view David Earl Neate'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
February 10, 2025 - Present
MARINER ADVISOR NETWORK
Office #1: 3610 American River Drive Suite 120, Sacramento, CA 95864RIA
CRD#: 283824
Sacramento, CA
Current
April 16, 2015 - Present
LPL FINANCIAL LLC
Office #1: 3610 American River Dr Ste 120, Sacramento, CA 95864-5999RIA
BD
CRD#: 6413
Sacramento, CA
Current
April 9, 2025 - Present
MSEC, LLC
Office #1: 5700 W 112th Street Suite 500, Overland Park, KS 66211BD
CRD#: 154327
Overland Park, KS
Past
April 16, 2015 - April 10, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
COOKEVILLE, TN
Past
January 25, 2011 - September 18, 2014
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
RANCHO CORDOVA, CA
Past
January 21, 2011 - September 18, 2014
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
RANCHO CORDOVA, CA
Past
March 27, 2007 - September 8, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MEMPHIS, TN
Past
March 27, 2007 - September 8, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MEMPHIS, TN
Past
August 15, 2003 - March 20, 2007
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
BOULDER, CO
Past
August 13, 2003 - March 20, 2007
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
BOULDER, CO
Past
April 28, 2003 - June 10, 2003
OSAIC FA, INC.
RIA
CRD#: 3978
IRVINE, CA
Past
August 31, 2000 - June 10, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 5, 2000 - June 10, 2003
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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".
MA
MARINER ADVISOR NETWORK
AERO CAPITAL | ZION CAPITAL WEALTH MANAGEMENT | ZION CAPITAL | YERBA BUENA FINANCIAL PARTNERS, LLC | WESTLAKE FINANCIAL MANAGEMENT | WESTERN WEALTH MANAGEMENT, INC. | WEST CAPITAL WEALTH MANAGEMENT | WEALTH VISION ADVISORS | WATERSHED WEALTH MANAGEMENT | WATCH HILL FINANCIAL, INC | WARNER WEALTH STRATEGIES | VIREN AND ASSOCIATES, INC. | VAN KESTEREN CAPITAL MANAGEMENT | UNIQUE PLANNING | UNIFIED WEALTH ADVISORS | THE FINANCIAL SERVICES NETWORK | STRATOS WEALTH PARTNERS | STRATEGIC WEALTH ADVISORS GROUP, LLC | STRATEGIC WEALTH ADVISORS GROUP, INC. | STRATEGIC WEALTH ADVISORS GROUP | STRATEGIC DIVORCE SOLUTIONS, INC. | STRATEFIC WEALTH ADVISORS GROUP, LLC | STONEBRIDGE GLOBAL INVESTMENTS | STEPHENSON COMPANY, THE | STANFORD FEDERAL CREDIT UNION | SPRAGUE WEALTH SOLUTIONS, LLC | SONOMA COUNTY WEALTH ADVISORS | SLANKSTER FINANCIAL | SIMPLIFIED WEALTH MANAGEMENT INC. | SAXE CAPITAL | SAIL FINANCIAL | ROCCO & ASSOCIATES WEALTH MANAGEMENT, INC. | RFS WEALTH ADVISORS | RETIREMENT WEALTH ADVISORS, INC. | RED TOWER ADVISORS | RASMUSSEN ADVISORS | RAHN WEALTH MANAGEMENT, LLC | PUTNAM AND MAIN WEALTH MANAGEMENT | PURPOSE FINANCIAL ADVISORS, LLC | PROVIDENCE WEALTH PLANNING, INC. | POTENTIA, INC | POTENTIA WEALTH | PARAGON FINANCIAL PLANNING | OSTDIEK FINANCIAL AND INSURANCE | OAK WEALTH MANAGEMENT, LLC | OAK TREE WEALTH MANAGEMENT | NURTURED WEALTH | NAPOLI WEALTH MANAGEMENT | MULTIGEN WEALTH SERVICES, INC. | MOSHER FINANCIAL GROUP | MISSE WEALTH MANAGEMENT | MILLS WEALTH MANAGEMENT GROUP | MERCER PARTNERS WEALTH MANAGEMENT | MCCURDY FINANCIAL SERVICES | MCCREA ALLEN | MASTER PLAN ADVISORY, INC. | MARSHALL WEALTH MANAGEMENT GROUP | MARINER INDEPENDENT ADVISOR NETWORK, LLC | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | MARC RHEINGOLD & ASSOCIATES, INC. | MACLISE GROOMS WEALTH MANAGEMENT, LLC | MACKESON ADVISORY | LIGHTHOUSE STRATEGIC ADVISORS, LLC | LEXINGTON WEALTH ADVISORS | LEGACY WEALTH PLANNING, LLC | LAURUS FINANCIAL GROUP | KLEIN INVESTMENT STRATEGIES | JSO PARTNERS | JP WEALTH MANAGEMENT | JBT FINANCIAL, LLC | INTEGRITY FINANCIAL SERVICES | INTEGRITY CAPITAL WEALTH MANAGEMENT, LLC | INTEGRATED WEALTH MANAGEMENT | IMD FINANCIAL, LLC | IDEAL FINANCIAL ADVISORS LLC | I.D.E.A.L. FINANCIAL SERVICES | HUMANITY WEALTH ADVISORS | HORG WEALTH MANAGEMENT | HICKS FINANCIAL SERVICES, LLC | HAPPINESS WEALTH MANAGEMENT | GROOMS WEALTH MANAGEMENT, LLC | GIORDANO WEALTH MANAGEMENT GROUP, LLC | FRANK DEPTOLA AND ASSOCIATES, LLC | FORONJY FINANCIAL | FISKE FINANCIAL STRATEGIES | EXECUTIVE WEALTH STRATEGIES | EQUITY DEVELOPMENT CORPORATION | EQ PRIVATE WEALTH ADVISORS | ENRICH360 WEALTH ADVISORS | ECS CAPITAL INVESTMENTS | DIME AND ASSOCIATES | DILDAY AND ASSOCIATES | DIETZ NEXTSTAGE FINANCIAL MANAGEMENT | DIAMOND GROUP WEALTH ADVISORS, THE | DALE Q. RICE INVESTMENT MANAGEMENT, LTD. | CYPRESS PRIVATE WEALTH | CROW CANYON INVESTMENTS AND FINANCIAL PLANNING | COVENANT WEALTH ADVISORS | COMMON SENSONOMICS WEALTH MANAGEMENT | COLUMBIA ADVISORY PARTNERS, LLC | COLORADO WEST INVESTMENTS, INC. | CLEARLIFE WEALTH MANAGEMENT | CLEAR VISION FINANCIAL ADVISORS | CLARITY FINANCIAL PLANNING, INC. | CAPLAN CAPITAL MANAGEMENT | CAPITAL FINANCIAL SERVICES | CAMINO ADVISORS | CAMBER WEALTH | CALIFORNIA PRIVATE WEALTH | BROWN FINANCIAL SERVICES GROUP OF TEXAS, INC. | BROWN FINANCIAL SERVICES GROUP | BROOKS WEALTH MANAGEMENT | BRIGHT WEALTH PLANNING | BLACK STONE FINANCIAL, INC. | BIG TREES WEALTH MANGEMENT | BERL FINANCIAL SERVICES | BAKER WEALTH MANAGEMENT | AWA WEALTH MANAGEMENT, LLC | ASCEND INTEGRATED WEALTH | ARAKELIAN WEALTH MANAGEMENT | AQUARIUS WEALTH MANAGEMENT, LLC | ANACORTES FINANCIAL ASSOCIATES | AMERICAN FINANCIAL ADVISORS, INC. | ALNA WEALTH MANAGEMENT | ALADINO FINANCIAL SERVICES | AFFINITY WEALTH PLANNING
CRD#: 283824 / SEC#: 801-107913
RIA
Registered Investment Advisory firm - (6/8/2016 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(9/30/2015)
RR
Alaska(9/30/2015)
RR
Arizona(9/30/2015)
RR
Arkansas(9/30/2015)
RR
California(4/16/2015)
IAR
California(2/10/2025)
RR
Colorado(9/30/2015)
RR
Connecticut(9/30/2015)
RR
Delaware(9/30/2015)
RR
District of Columbia(9/30/2015)
RR
Florida(9/30/2015)
RR
Georgia(9/30/2015)
RR
Hawaii(9/30/2015)
RR
Idaho(9/30/2015)
RR
Illinois(9/30/2015)
RR
Indiana(9/30/2015)
RR
Iowa(9/30/2015)
RR
Kansas(9/30/2015)
RR
Kentucky(9/30/2015)
RR
Louisiana(9/30/2015)
RR
Maine(9/30/2015)
RR
Maryland(9/30/2015)
RR
Massachusetts(9/30/2015)
RR
Michigan(9/30/2015)
RR
Minnesota(9/30/2015)
RR
Mississippi(9/30/2015)
RR
Missouri(9/30/2015)
RR
Montana(9/30/2015)
RR
Nebraska(9/30/2015)
RR
Nevada(9/30/2015)
RR
New Hampshire(9/30/2015)
RR
New Jersey(9/30/2015)
RR
New Mexico(9/30/2015)
RR
New York(9/30/2015)
RR
North Carolina(10/2/2015)
RR
North Dakota(9/30/2015)
RR
Ohio(10/1/2015)
RR
Oklahoma(9/30/2015)
RR
Oregon(9/30/2015)
RR
Pennsylvania(9/30/2015)
RR
Rhode Island(9/30/2015)
RR
South Carolina(9/30/2015)
RR
South Dakota(9/30/2015)
RR
Tennessee(9/30/2015)
IAR
Tennessee(8/1/2025)
RR
Texas(9/30/2015)
IAR
Texas(2/10/2025)
RR
Utah(9/30/2015)
RR
Vermont(9/30/2015)
RR
Virgin Islands(9/30/2015)
RR
Virginia(9/30/2015)
RR
Washington(9/30/2015)
RR
West Virginia(9/30/2015)
RR
Wisconsin(9/30/2015)
RR
Wyoming(9/30/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MARINER ADVISOR NETWORK
AERO CAPITAL | ZION CAPITAL WEALTH MANAGEMENT | ZION CAPITAL | YERBA BUENA FINANCIAL PARTNERS, LLC | WESTLAKE FINANCIAL MANAGEMENT | WESTERN WEALTH MANAGEMENT, INC. | WEST CAPITAL WEALTH MANAGEMENT | WEALTH VISION ADVISORS | WATERSHED WEALTH MANAGEMENT | WATCH HILL FINANCIAL, INC | WARNER WEALTH STRATEGIES | VIREN AND ASSOCIATES, INC. | VAN KESTEREN CAPITAL MANAGEMENT | UNIQUE PLANNING | UNIFIED WEALTH ADVISORS | THE FINANCIAL SERVICES NETWORK | STRATOS WEALTH PARTNERS | STRATEGIC WEALTH ADVISORS GROUP, LLC | STRATEGIC WEALTH ADVISORS GROUP, INC. | STRATEGIC WEALTH ADVISORS GROUP | STRATEGIC DIVORCE SOLUTIONS, INC. | STRATEFIC WEALTH ADVISORS GROUP, LLC | STONEBRIDGE GLOBAL INVESTMENTS | STEPHENSON COMPANY, THE | STANFORD FEDERAL CREDIT UNION | SPRAGUE WEALTH SOLUTIONS, LLC | SONOMA COUNTY WEALTH ADVISORS | SLANKSTER FINANCIAL | SIMPLIFIED WEALTH MANAGEMENT INC. | SAXE CAPITAL | SAIL FINANCIAL | ROCCO & ASSOCIATES WEALTH MANAGEMENT, INC. | RFS WEALTH ADVISORS | RETIREMENT WEALTH ADVISORS, INC. | RED TOWER ADVISORS | RASMUSSEN ADVISORS | RAHN WEALTH MANAGEMENT, LLC | PUTNAM AND MAIN WEALTH MANAGEMENT | PURPOSE FINANCIAL ADVISORS, LLC | PROVIDENCE WEALTH PLANNING, INC. | POTENTIA, INC | POTENTIA WEALTH | PARAGON FINANCIAL PLANNING | OSTDIEK FINANCIAL AND INSURANCE | OAK WEALTH MANAGEMENT, LLC | OAK TREE WEALTH MANAGEMENT | NURTURED WEALTH | NAPOLI WEALTH MANAGEMENT | MULTIGEN WEALTH SERVICES, INC. | MOSHER FINANCIAL GROUP | MISSE WEALTH MANAGEMENT | MILLS WEALTH MANAGEMENT GROUP | MERCER PARTNERS WEALTH MANAGEMENT | MCCURDY FINANCIAL SERVICES | MCCREA ALLEN | MASTER PLAN ADVISORY, INC. | MARSHALL WEALTH MANAGEMENT GROUP | MARINER INDEPENDENT ADVISOR NETWORK, LLC | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | MARC RHEINGOLD & ASSOCIATES, INC. | MACLISE GROOMS WEALTH MANAGEMENT, LLC | MACKESON ADVISORY | LIGHTHOUSE STRATEGIC ADVISORS, LLC | LEXINGTON WEALTH ADVISORS | LEGACY WEALTH PLANNING, LLC | LAURUS FINANCIAL GROUP | KLEIN INVESTMENT STRATEGIES | JSO PARTNERS | JP WEALTH MANAGEMENT | JBT FINANCIAL, LLC | INTEGRITY FINANCIAL SERVICES | INTEGRITY CAPITAL WEALTH MANAGEMENT, LLC | INTEGRATED WEALTH MANAGEMENT | IMD FINANCIAL, LLC | IDEAL FINANCIAL ADVISORS LLC | I.D.E.A.L. FINANCIAL SERVICES | HUMANITY WEALTH ADVISORS | HORG WEALTH MANAGEMENT | HICKS FINANCIAL SERVICES, LLC | HAPPINESS WEALTH MANAGEMENT | GROOMS WEALTH MANAGEMENT, LLC | GIORDANO WEALTH MANAGEMENT GROUP, LLC | FRANK DEPTOLA AND ASSOCIATES, LLC | FORONJY FINANCIAL | FISKE FINANCIAL STRATEGIES | EXECUTIVE WEALTH STRATEGIES | EQUITY DEVELOPMENT CORPORATION | EQ PRIVATE WEALTH ADVISORS | ENRICH360 WEALTH ADVISORS | ECS CAPITAL INVESTMENTS | DIME AND ASSOCIATES | DILDAY AND ASSOCIATES | DIETZ NEXTSTAGE FINANCIAL MANAGEMENT | DIAMOND GROUP WEALTH ADVISORS, THE | DALE Q. RICE INVESTMENT MANAGEMENT, LTD. | CYPRESS PRIVATE WEALTH | CROW CANYON INVESTMENTS AND FINANCIAL PLANNING | COVENANT WEALTH ADVISORS | COMMON SENSONOMICS WEALTH MANAGEMENT | COLUMBIA ADVISORY PARTNERS, LLC | COLORADO WEST INVESTMENTS, INC. | CLEARLIFE WEALTH MANAGEMENT | CLEAR VISION FINANCIAL ADVISORS | CLARITY FINANCIAL PLANNING, INC. | CAPLAN CAPITAL MANAGEMENT | CAPITAL FINANCIAL SERVICES | CAMINO ADVISORS | CAMBER WEALTH | CALIFORNIA PRIVATE WEALTH | BROWN FINANCIAL SERVICES GROUP OF TEXAS, INC. | BROWN FINANCIAL SERVICES GROUP | BROOKS WEALTH MANAGEMENT | BRIGHT WEALTH PLANNING | BLACK STONE FINANCIAL, INC. | BIG TREES WEALTH MANGEMENT | BERL FINANCIAL SERVICES | BAKER WEALTH MANAGEMENT | AWA WEALTH MANAGEMENT, LLC | ASCEND INTEGRATED WEALTH | ARAKELIAN WEALTH MANAGEMENT | AQUARIUS WEALTH MANAGEMENT, LLC | ANACORTES FINANCIAL ASSOCIATES | AMERICAN FINANCIAL ADVISORS, INC. | ALNA WEALTH MANAGEMENT | ALADINO FINANCIAL SERVICES | AFFINITY WEALTH PLANNING
CRD#: 283824 / SEC#: 801-107913
RIA
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Contact information
Main Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
Phone number
(650) 571-1934
Established
Firm type
Fiscal year end
# of Employees
177
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,221 |
| AUM (Assets Under Management) | $ 8,486,309,662 |
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
MARINER ADVISOR NETWORK
CRD#: 283824Sacramento, CA 95864TRUST BUT VERIFY
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