David Neate

Compliance Supervisor

650-445-0467 | dneate@fsnweb.com

As a Compliance Supervisor, David assists advisors in running compliant practices with a compassion focused on business, coaching and teamwork.  In mid-2000, he began supervising as an OSJ and over the years has provided compliance and operational support to independent, full service and institutional advisors and staff.  A Sacramento resident, David enjoys the outdoors, spending time with his grandchildren and traveling.

Education

  • Bachelor of Science in Business/Finance, University of Phoenix

Professional Qualifications

  • Securities registrations Series 7, 66, 24, 9 & 10 held through Strategic Wealth Advisors Group, and LPL Financial.
  • FINRA Series 7: General Securities Examination
  • FINRA Series 66: NASAA Uniform Combined State Law Examination
  • FINRA Series 24: General Securities Principal Qualification Examination
  • FINRA Series 9: General Securities Sales Supervisor – Options Exam
  • FINRA Series 10: General Securities Sales Supervisor – General Exam
  • California Life, Health and Variable License #0D58485