David Charles Neff

Current Employers

Employment History

• 01/2013 → 01/2023
  Cetera Advisor Networks Llc
  El Segundo, CA
• 01/2017 → Present
  Clg Llc Dba Legacy Financial
  Long Beach, CA
• 12/2022 → Present
  Legacy Financial Planning
  Lakewood, CA
• 06/2023 → 12/2023
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 01/2024 → Present
  Purshe Kaplan Sterling Investments
  Albany, NY

Previous Registrations

• 2023-06-29 → 2023-12-31
  Cetera Investment Advisers Llc
  Cerritos, CA
• 1998-03-31 → 2023-06-29
  Cetera Wealth Services, Llc
  Cerritos, CA
  Lakewood, CA

Other Businesses

1) CLG LLC, DBA Legacy Financial. Investment Related. At registered location. RIA. IAR. 01/02/2024. Hrs/month 120 with 60 during trading hours. IAR. 2) Fixed Insurance. Investment Related. At registered location. Fixed/Traditional Insurance. Agent. 01.02.2024. Hrs/month 4 all during trading hours. Provide insurance advice based on the needs of client(s). 3) Legacy Financial Planning. Not Investment Related. 4067 Hardwick St., Suite 205, Lakewood, CA 90712. Business Manager / Management Services. Owner. 01/01/2023. Hrs/month 15 with 0 during trading hours. Legacy Financial Planning is a separate DBA for the sole purpose of Business Expense Management, Payroll Services and 401(k) for Office Staff. 4) Advisors Choice. Investment related. At registered location. Fixed/Traditional Insurance. Agent. Start date: 06/2026. 1 hr/month; during trading hours. Fixed insurance. 5) Ash Brokerage. Investment related. At registered location. Fixed/Traditional Insurance. Agent. Start date: 06/2026. 1 hr/month; during trading hours. Fixed insurance.

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-03-02
• S63 Uniform Securities Agent State Law Examination
  1996-12-03

Designations