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NM

Neil B. Morganbesser

GLOBALIST CAPITAL
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 2375615
NM

Professional summary

Neil Barry Morganbesser is a registered financial professional currently at GLOBALIST CAPITAL, LLC located in Santa Monica, California.

Neil is registered as a RR (Registered Representative) and started their career in finance in 1994. Neil has worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Neil Barry Morganbesser's 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

January 23, 2012 - Present

GLOBALIST CAPITAL, LLC

Office #1: 100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
BD
CRD#: 152786
Santa Monica, CA
Past

August 12, 2008 - January 20, 2012

CAPPELLO CAPITAL CORP.

BD
CRD#: 30124
SANTA MONICA, CA
Past

June 7, 2001 - June 17, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

January 1, 1994 - May 15, 2001

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(2/2/2012)
RR
New York
(3/4/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 9/7/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 1/31/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/30/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GC
GLOBALIST CAPITAL, LLC
GLOBALIST CAPITAL, LLC | HIGHLINE SECURITIES, LLC | GLOBALIST SECURITIES, LLC

CRD#: 152786 / SEC#: , 8-68478

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
Mailing Address
100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
Phone number
(310) 319-2000
Established
Delaware since 11/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BARON ADVISORS, LLCMANAGING MEMBER
KIRSCHENBLATT, CHAD ETHANCFO/FINOP2503352
MORGANBESSER, NEIL BARRYCEO/CCO2375615

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.

Company Information

GLOBALIST CAPITAL, LLC

CRD#: 152786Santa Monica, CA 90401

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