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Detailed Report
CLIFFORD DENNIS NEILL
CRD#: 708897
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 CHICO, CA
Registration History
19801985199019952000200520102015202020252 FIRMS2019 - Present (6 years)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)1988 - 2019 (30 years)BFIRST AFFILIATED SECURITIES, INC. (CRD# 6871)1983 - 1988 (5 years)BSECURITY FIRST FINANCIAL, INC. (CRD# 6695)1980 - 1983 (2 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)1997 - 2019 (21 years)
License(s)

State Registrations

B
Arizona 3/4/2019
B
Nevada 3/4/2019
B
California 3/4/2019
B
New York 11/15/2019
IA
California 3/5/2019
B
Oregon 3/4/2019
B
Florida 3/4/2019
B
Tennessee 5/18/2022
B
Illinois 3/4/2019
B
Texas 4/29/2019
B
Missouri 7/15/2021
IA
Texas 4/29/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
CHICO, CA
Registered with this firm since 3/5/2019
B
LPL FINANCIAL LLC (CRD#:6413)
CHICO, CA
Registered with this firm since 3/4/2019
Previous Registration(s)
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IA
 07/08/1997 - 03/07/2019 CETERA ADVISOR NETWORKS LLC (CRD#:13572) CHICO, CA
B
 04/11/1988 - 03/07/2019 CETERA ADVISOR NETWORKS LLC (CRD#:13572) CHICO, CA
B
 01/19/1983 - 04/21/1988 FIRST AFFILIATED SECURITIES, INC. (CRD#:6871)
B
 05/07/1980 - 02/08/1983 SECURITY FIRST FINANCIAL, INC. (CRD#:6695)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.