Mark R. Neubauer

VANTAGE POINT WEALTH MANAGEMENT

Edina, MN 55435

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CRD#: 2018228

Professional summary

Mark Richard Neubauer is a registered financial advisor currently at VANTAGE POINT WEALTH MANAGEMENT located in Edina, Minnesota and LPL FINANCIAL LLC located in Edina, Minnesota.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Mark has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Neubauer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 12, 2016 - Present

VANTAGE POINT WEALTH MANAGEMENT

Office #1: 7101 York Ave S. Suite 350, Edina, MN 55435

RIA

CRD#: 167886

Edina, MN

Current

October 4, 2012 - Present

LPL FINANCIAL LLC

Office #1: 7101 York Ave S Ste 350, Edina, MN 55435-4408

RIA

CRD#: 6413

Edina, MN

Past

January 21, 2014 - December 23, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

EDINA, MN

Past

October 4, 2011 - August 9, 2012

OSAIC WEALTH, INC.

CRD#: 23131

APPLE VALLEY, MN

Past

September 8, 1994 - April 1, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 8, 1994 - September 6, 2011

OSAIC FA, INC.

CRD#: 3978

PRIOR LAKE, MN

Past

February 9, 1990 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

February 9, 1990 - September 27, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VANTAGE POINT WEALTH MANAGEMENT

CRD#: 167886 / SEC#: 801-99343

RIA

Registered Investment Advisory firm - (6/3/2015 Approved)

Iowa

Registered Investment Advisory firm - (6/30/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (6/24/2015 Terminated)

North Dakota

Registered Investment Advisory firm - (6/24/2015 Terminated)

South Dakota

Registered Investment Advisory firm - (6/24/2015 Terminated)

Texas

Registered Investment Advisory firm - (6/24/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Minnesota
(10/4/2012)

IAR

Minnesota
(12/12/2016)

Montana
(12/19/2016)

Wisconsin
(10/18/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/8/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/8/1990

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VANTAGE POINT WEALTH MANAGEMENT

CRD#: 167886 / SEC#: 801-99343

RIA

Registered Investment Advisory firm - (6/3/2015 Approved)

Iowa

Registered Investment Advisory firm - (6/30/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (6/24/2015 Terminated)

North Dakota

Registered Investment Advisory firm - (6/24/2015 Terminated)

South Dakota

Registered Investment Advisory firm - (6/24/2015 Terminated)

Texas

Registered Investment Advisory firm - (6/24/2015 Terminated)

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Contact information

Main Address

505 North Highway 169 Suite 260, Plymouth, MN 55441

Mailing Address

Phone number

(763) 587-7120

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE - VPWM ADVISORS (3/14/2025)

ADV PART 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,361
AUM (Assets Under Management)	$ 277,355,003

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.

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Advisor Monitoring

Firm Stability Insights

Mark R. Neubauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Neubauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC WEALTH, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

VANTAGE POINT WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 3/8/1990

SIE

Date: 10/1/2018

Series 6

Date: 2/8/1990

FINRA

Current Firm

VANTAGE POINT WEALTH MANAGEMENT

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VANTAGE POINT WEALTH MANAGEMENT

TRUST BUT VERIFY

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