Michael Raymond Neeley

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2012 → 08/2019
  Transamerica Financial Advisors, Inc
  San Diego, CA
• 04/2012 → 08/2019
  World Financial Group, Inc.
  San Diego, CA
• 08/2019 → 06/2021
  Voya Financial Advisors, Inc.
  Glendora, CA
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 01/2023 → Present
  Equity 401K Consultants
  Glendora, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 05/2025 → Present
  Equity Cfo Services
  San Dimas, CA

Previous Registrations

• 2019-08-09 → 2021-06-09
  Voya Financial Advisors, Inc.
  Glendora, CA
  La Verne, CA
• 2016-06-20 → 2019-08-07
  Transamerica Financial Advisors, Llc
  San Diego, CA

Other Businesses

1) NAME OF ENTITY: Independent Insurance Agent; Yes; 415 Brightview Dr; Glendora; CA; 91741; FIXED INSURANCE SALES; Independent Insurance Agent; 8/7/2019; 160; 160; SALES OF FIXED INSURANCE PRODUCTS| 2) NAME OF ENTITY:M. Neeley Financial & Insurance Services; No; 415 Brightview Dr; Glendora; CA; 91741; Fixed Insurance/dba; Owner; 2/15/2021; 160; 160; Market and sell insurance products that include, term life, whole life, indexed universal life, and fixed annuities Service existing clients| 3) NAME OF OTHER BUSINESS: EQUITY 401K CONSULTANTS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4) NAME OF OTHER BUSINESS: MICHAEL NEELEY FREELANCE MUSICIAN; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MUSICIAN; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: FREELANCE MUSICIAN; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: FREELANCE MUSICIAN FOR STUDIO AND LIVE PERFORMANCE WORK; 5) NAME OF OTHER BUSINESS: EQUITY CFO SERVICES, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: CONSULTING, START DATE: 05/2025, POSITION/TITLE/RELATIONSHIP: OWNER/CFO CONSULTANT, APX NUMBER OF HOURS PER WEEK: 15, APX NUMBER OF HOURS DURING TRADING HOURS: 3, BRIEF DESCRIPTION OF DUTIES: TO PROVIDE CFO SERVICES AND CONSULTING TO BUSINESSES THAT DON'T HAVE A FULL TIME CFO OR CAN'T HIRE A FULL TIME CFO; 6) NAME OF OTHER BUSINESS: MAVIX COMMUNITY OUTREACH, INVESTMENT RELATED: NO, ADDRESS: 680 E COVINA BLVD, COVINA, CA 91722, NATURE OF BUSINESS: NON-PROFIT, START DATE: 10/2025, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 2, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PROVIDE STRATEGIC GUIDANCE AND SUPPORT TO HELP THE ORGANIZATION FULFILL ITS MISSION. PARTICIPATE IN BOARD MEETINGS, CONTRIBUTE TO HIGH-LEVEL DECISION-MAKING, ASSIST WITH FUNDRAISING EFFORTS, AND SERVE AS AN AMBASSADOR TO THE COMMUNITY; 7) NAME OF OTHER BUSINESS: SAN DIMAS CHAMBER OF COMMERCE INVESTMENT RELATED: NO ADDRESS: 246 E BONITA AVE, SAN DIMAS SAN 91773 NATURE OF BUSINESS: BOARD START DATE: 7/1/2026 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: ATTEND PERIODIC BOARD MEETINGS, PROVIDE INPUT ON CHAMBER INITIATIVES, AND SUPPORT MEMBERSHIP ENGAGEMENT EFFORT

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-06-16
• S63 Uniform Securities Agent State Law Examination
  2013-02-09