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.
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)
(3/26/2026)
(2/12/2014)
(10/4/2017)
(3/26/2026)
(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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
