David Neff is a CFP-designated registered investment advisor, based in Cerritos, CA, with 29 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold.
Location
17215 Studebaker Road Suite 395, Cerritos, CA, 90703
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
David is an IAR for CLG LLC, DBA Legacy Financial, dedicating nearly full-time hours to this role. He also works as an insurance agent selling fixed/traditional insurance, spending minimal time on this activity, and owns Legacy Financial Planning for business expense management and payroll services, spending about 10-20% of his time.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
Clg LLC
Previous Registrations
Cetera Investment Advisers LLC
Cetera Advisor Networks LLC
Cetera Advisor Networks LLCBroker
State Registrations27 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
More Advisors
- William Torres, PFSCerda Munoz Advisors, INC
- Geoffrey Mizrahi, CFPRaymond James & Associates, INC.
- Richard Gilliland, CFPLPL Financial LLC
- Richard Magdaleno, CFP, ChFCLatitude Advisors, LLC
- James Barr, ChFCState Farm Investment Management CORP.