Natalie M. Neaton

EXPAND FINANCIAL

Littleton, CO

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CRD#: 5991304

Professional summary

Natalie Margaret Neaton is a registered financial advisor currently at EXPAND FINANCIAL, LLC located in Littleton, Colorado.

Natalie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Natalie has worked at 5 firms and has passed the Series 65, SIE 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.

-Brother Bond-privately held bourbon company. Own a little over 1%. I do not perform any work for this company and it is not investment related. -Outside insurance sales- medical, dental, vision, std, ltd life 401K advisor for RIA Aveo Capital Sit on Board for A Little Help- non profit in Denver

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Natalie Margaret Neaton'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

May 27, 2025 - Present

EXPAND FINANCIAL, LLC

RIA

CRD#: 152515

Littleton, CO

Past

January 5, 2022 - October 14, 2024

DMK ADVISOR GROUP, INC.

RIA

CRD#: 41067

LUTZ, FL

Past

May 29, 2014 - December 31, 2021

DMK ADVISOR GROUP, INC.

RIA

CRD#: 41067

LUTZ, FL

Past

May 28, 2014 - June 10, 2025

DMK ADVISOR GROUP, INC.

CRD#: 41067

LUTZ, FL

Past

May 20, 2014 - October 1, 2025

AVEO CAPITAL PARTNERS, LLC

RIA

CRD#: 157728

ENGLEWOOD, CO

Past

May 31, 2012 - June 25, 2015

CAPITAL INVESTMENT MANAGEMENT

RIA

CRD#: 109924

DENVER, CO

Past

December 1, 2011 - May 16, 2014

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

DENVER, CO

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".

EXPAND FINANCIAL, LLC

BACK OFFICE ADVISORS, LLC | SUMMIT BENEFIT SOLUTIONS, INC. | EXPAND FINANCIAL, LLC | BOA, LLC | BOA

CRD#: 152515 / SEC#: 801-121644

RIA

Registered Investment Advisory firm - (6/28/2021 Approved)

Ohio

Registered Investment Advisory firm - (7/13/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Colorado
(5/27/2025)

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

IAR

Series 65

Date: 5/23/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/29/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EXPAND FINANCIAL, LLC

BACK OFFICE ADVISORS, LLC | SUMMIT BENEFIT SOLUTIONS, INC. | EXPAND FINANCIAL, LLC | BOA, LLC | BOA

CRD#: 152515 / SEC#: 801-121644

RIA

Registered Investment Advisory firm - (6/28/2021 Approved)

Ohio

Registered Investment Advisory firm - (7/13/2021 Terminated)

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Contact information

Main Address

Littleton, CO

Mailing Address

Phone number

(720) 387-8158

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (6/11/2025)

Regulatory assets under management

Total Number of Accounts	1,670
AUM (Assets Under Management)	$ 1,835,744,176

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/10/2025	Cover Page	Report
11/14/2023	Cover Page	Report
12/14/2022	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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Advisor Monitoring

Firm Stability Insights

Natalie M. Neaton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Natalie Margaret Neaton's CRS (Customer Relationship Summary).

Certified licenses

Experience

DMK ADVISOR GROUP, INC.

DMK ADVISOR GROUP, INC.

DMK ADVISOR GROUP, INC.

AVEO CAPITAL PARTNERS, LLC

CAPITAL INVESTMENT MANAGEMENT

FIRST ALLIED SECURITIES, INC.

Primary Firm SEC Registration

EXPAND FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/23/2012

SIE

Date: 10/1/2018

Series 6

Date: 11/29/2011

Current Firm

EXPAND FINANCIAL, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EXPAND FINANCIAL, LLC

TRUST BUT VERIFY

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