Mark A. Neuberger
Professional summary
Mark Andrew Neuberger, who also goes by Mark Andrew Nerberger, Mark Neuberger, is a registered financial professional currently at AXIOM CAPITAL MANAGEMENT, INC. located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Andrew Neuberger's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 2, 2013 - Present
AXIOM CAPITAL MANAGEMENT, INC.
Office #1: 350 Fifth Avenue Suite 6740, New York, NY 10118August 10, 2012 - May 31, 2013
DIRECT ACCESS PARTNERS LLC
November 2, 2011 - November 15, 2012
SRT SECURITIES LLC
August 26, 2009 - September 16, 2011
J.P. MORGAN SECURITIES LLC
July 21, 2003 - April 15, 2005
FIRST NEW YORK SECURITIES L.L.C.
May 21, 1987 - July 22, 2003
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/2/2013)
(10/17/2017)
(2/12/2014)
(10/4/2017)
(12/12/2016)
(4/17/2023)
(9/14/2016)
(7/2/2013)
(7/29/2024)
(2/1/2023)
(10/9/2024)
(12/12/2016)
(11/14/2022)
(2/1/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/24/2009
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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