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David Neate

CRD#: 4183687
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DN
David Neate

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.

David Neate, who also goes by David Earl Neate, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2000. David had 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"?
No

Aliases

David Earl Neate

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 9, 2025 - May 22, 2026

MSEC, LLC

BD
CRD#: 154327
OVERLAND PARK, KS
Past

February 10, 2025 - May 22, 2026

MARINER ADVISOR NETWORK

RIA
CRD#: 283824
Cookeville, TN
Past

April 16, 2015 - April 10, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
COOKEVILLE, TN
Past

April 16, 2015 - May 28, 2026

LPL FINANCIAL LLC

BD
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

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/18/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/3/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/2/2007
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/5/2007
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/28/2000
General Securities Principal Examination

Current Firm

ML
MSEC, LLC
MARINER | MSEC, LLC | MONTAGE SECURITIES, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH

CRD#: 154327 / SEC#: , 8-68627

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Phone number
(913) 904-5700
Established
Delaware since 05/13/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MARINER WEALTH ADVISORS, LLCMEMBER
DORIAN, ANNE JENELLEPRESIDENT5736231
ERSKINE, ANN TERESACHIEF COMPLIANCE OFFICER5071135
STEIGHNER, KAREN ANNPFO/POO/FINOP1100675

Disclosures

Regulatory Event1

Red Flags

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Company Information

MSEC, LLC

CRD#: 154327

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