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Heather Michele Neubauer

Cetera Advisor Networks LLC

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About Heather Michele Neubauer

Heather Neubauer is a financial advisor with Cetera Advisor Networks LLC. Heather is a licensed Series 7, Series 24, and Series 63 financial advisor and has been in the industry since 2009. Heather previously worked for TD Ameritrade Clearing, Inc., Charles Schwab & Co., Inc., FSC Securities Corporation, Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Triad Advisors LLC, Woodbury Financial Services, Inc., and Securities America, Inc. Heather is registered with the state of Nebraska.

Firm Information

Heather Neubauer is currently registered with Cetera Advisor Networks LLC. Cetera Advisor Networks LLC is a Limited Liability Company formed in 2012. The firm is registered with the SEC and in 53 states. It is approved to provide advisory services.

Not reported

Assets Under Management

Not reported

Total Clients

695

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Heather Neubauer’s Registration & Firm History

NE

01/16/2024 - Present

Cetera Advisor Networks LLC (OMAHA NE)

NE

03/25/2022 - 01/08/2024

TD AMERITRADE CLEARING, INC. (OMAHA NE)

NE

03/16/2022 - 01/08/2024

CHARLES SCHWAB & CO., INC. (Omaha NE)

GA

02/03/2021 - 11/22/2021

FSC SECURITIES CORPORATION (ATLANTA GA)

AZ

02/03/2021 - 11/22/2021

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

AZ

02/03/2021 - 11/22/2021

SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)

GA

02/03/2021 - 11/22/2021

TRIAD ADVISORS LLC (ATLANTA GA)

MN

02/03/2021 - 11/22/2021

WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)

NE

08/22/2016 - 11/22/2021

SECURITIES AMERICA, INC. (Omaha NE)

NE

02/04/2008 - 10/14/2015

TD AMERITRADE, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 03/13/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/18/2017

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/01/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Heather Michele Neubauer.
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