Michael J. Neff

R M DAVIS

Portland, ME 04101-4069

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CRD#: 5932245

Professional summary

Michael J Neff is a registered financial advisor currently at R M DAVIS INC located in Portland, Maine.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Michael has worked at 3 firms and has passed the Series 63 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael J 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

February 7, 2021 - Present

R M DAVIS INC

Office #1: 24 City Center, Portland, ME 04101-4069

RIA

CRD#: 105448

Portland, ME

Past

July 13, 2018 - September 9, 2020

PEOPLE'S UNITED ADVISORS, INC.

RIA

CRD#: 292454

Portland, ME

Past

October 25, 2011 - April 8, 2013

KEY INVESTMENT SERVICES LLC

CRD#: 136300

CAPE ELIZABETH, ME

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".

R M DAVIS INC

DAVIS R M INC | R M DAVIS INC | R M DAVIS

CRD#: 105448 / SEC#: 801-13878

RIA

Registered Investment Advisory firm - (6/30/1978 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.

Highlighted states indicate IAR registrations

IAR

Maine
(2/8/2021)

IAR

New Hampshire
(2/7/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/28/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/24/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

R M DAVIS INC

DAVIS R M INC | R M DAVIS INC | R M DAVIS

CRD#: 105448 / SEC#: 801-13878

RIA

Registered Investment Advisory firm - (6/30/1978 Approved)

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Contact information

Main Address

24 City Center, Portland, ME 04101-4069

Mailing Address

Phone number

(207) 774-0022

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

R.M. DAVIS, INC. BROCHURE (6/25/2025)

Regulatory assets under management

Total Number of Accounts	5,881
AUM (Assets Under Management)	$ 7,267,414,894

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
11/26/2024	Cover Page	Report
12/22/2023	Cover Page	Report
11/21/2022	Cover Page	Report

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.

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Michael J. Neff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael J Neff's CRS (Customer Relationship Summary).

Certified licenses

Experience

R M DAVIS INC

PEOPLE'S UNITED ADVISORS, INC.

KEY INVESTMENT SERVICES LLC

Primary Firm SEC Registration

R M DAVIS INC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/2013

Series 6

Date: 10/24/2011

Current Firm

R M DAVIS INC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

R M DAVIS INC

TRUST BUT VERIFY

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