Unclaimed
Nathan Neubauer is a financial advisor with Middle Market Transactions, Inc. Nathan has been in the industry since August 18, 2015. Nathan holds the Series 63, Series 79 and SIE licenses. Nathan is registered with FINRA and the state of Missouri. Previously, Nathan worked at B. Riley Securities, Inc., Focalpoint Securities, LLC and D.A. Davidson & Co.
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.
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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2
MO
01/22/2024 - Present
Middle Market Transactions, Inc. (ST. LOUIS MO)
CA
07/06/2022 - 10/26/2023
B. RILEY SECURITIES, INC. (Los Angeles CA)
CA
07/11/2018 - 08/11/2022
FOCALPOINT SECURITIES, LLC (LOS ANGELES CA)
CA
08/19/2014 - 10/05/2017
D.A. DAVIDSON & CO. (COSTA MESA CA)
BC
Issued 09/29/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/2014
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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