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CHARLES ALAN NEFF
Chuck Neff
CRD#: 345628
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 Long Beach, CA
CETERA ADVISOR NETWORKS LLCCRD#: 13572 Long Beach, CA
Registration History
1965197019751980198519901995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2025 - Present (<1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2024 - Present (1 year)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2024 - 2024 (<1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)1983 - 2023 (40 years)BBRIARWOOD SECURITIES CORPORATION (CRD# 6368)1972 - 1986 (13 years)BWEST COAST SECURITIES (CRD# 3746)1971 - 1972 (1 year)BSHEARSON, HAMMILL & CO., INCOR... (CRD# 766)1964 - 1971 (7 years)IACLG LLC (CRD# 282605)2018 - 2024 (5 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - 2023 (<1 year)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)1997 - 2023 (25 years)
Disclosure(s)
View By:
3/26/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 2/23/2024

B
Nevada 2/23/2024

B
Arizona 2/23/2024

B
North Carolina 2/23/2024

B
California 2/23/2024

B
Pennsylvania 2/23/2024

IA
California 1/13/2025

B
South Dakota 2/23/2024

B
Colorado 2/23/2024

B
Tennessee 2/23/2024

B
Connecticut 2/23/2024

B
Texas 2/23/2024

B
Florida 2/23/2024

IA
Texas 1/13/2025

B
Idaho 2/23/2024

B
Utah 2/23/2024

B
Illinois 2/23/2024

B
Virginia 2/23/2024

B
Missouri 2/23/2024

B
Washington 2/23/2024

B
Montana 2/23/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
Long Beach, CA
Registered with this firm since 1/13/2025

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
Long Beach, CA
Long Beach, CA
Registered with this firm since 2/23/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/03/2024 - 02/27/2024 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Cerritos, CA
IA
02/27/2018 - 01/19/2024 CLG LLC (CRD#:282605) Cerritos, CA
IA
06/29/2023 - 12/31/2023 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) CERRITOS, CA
B
11/29/1983 - 12/31/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) CERRITOS, CA
IA
07/08/1997 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) CERRITOS, CA
B
11/30/1972 - 02/10/1986 BRIARWOOD SECURITIES CORPORATION (CRD#:6368)
B
08/25/1971 - 09/14/1972 WEST COAST SECURITIES (CRD#:3746)
B
05/07/1964 - 10/10/1971 SHEARSON, HAMMILL & CO., INCORPORATED (CRD#:766)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.