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Nathan Joseph Neubauer

Middle Market Transactions, Inc.

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About Nathan Joseph Neubauer

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.

Firm Information

Nathan Neubauer is currently registered with Middle Market Transactions, Inc.. Middle Market Transactions, Inc. is a Corporation formed on August 11, 2004. It is registered in Illinois and Missouri.

Not reported

Assets Under Management

Not reported

Total Clients

7

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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Nathan Neubauer’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Nathan Joseph Neubauer. Review regulatory record here.
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