David NeeleyCRD Number: 6302891
Current Firm: Esi Financial Advisors
David Neeley (CRD# 6302891) is an Investment Advisor Representative working at Esi Financial Advisors in Charlotte, NC and has over 3 years of experience in the finance industry.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Equity Services, Inc.||Montpelier, VT||Oct 2015 - Current||2|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Charlotte, NC||Feb 2014 - Sep 2015||1|
|Aaa Carolinas||Charlotte, NC||Jan 2011 - Feb 2014||3|
|Red Ventures||Fort Mill, SC||Feb 2010 - Jan 2011||< 1|
|Carolina Realty Advisors||Charlotte, NC||Oct 2007 - Feb 2010||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jul 2014|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Judgments / Liens
Total Assets Under Management1,080MILLIONS
Total Number of Accounts6,895ACCOUNTS
Average Account Value$156,678
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV
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