CHARLES ALAN NEFF

CHARLES ALAN NEFF is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 4010 Watson Plaza Drive, Suite 105, Lakewood, CA, 90712.

CHARLES ALAN NEFF has worked at CETERA ADVISOR NETWORKS LLC since November 29, 1983

Disclosure History

CHARLES ALAN NEFF has 1 Disclosure Event(s).

Date: March 26, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGES REP FAILED TO FOLLOW INSTRUCTIONS WHEN SHE ASKED TO LIQUIDATE HER IRA ON 12/04/2008.
Damage Amount Requested: $92,000.00

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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