Joseph Meerbaum
Professional summary
Joseph Meerbaum is a registered financial professional currently at NEWOAK CAPITAL MARKETS LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Meerbaum's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2023 - Present
NEWOAK CAPITAL MARKETS LLC
Office #1: 3 Columbus Circle 15th Fl., New York, NY, 10019December 2, 2020 - November 8, 2021
MAGSTAR CAPITAL, LLC
August 23, 2000 - April 18, 2001
BANC OF AMERICA SECURITIES LLC
February 11, 1998 - July 26, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/17/2023)
(3/21/2023)
(3/17/2023)
(3/24/2023)
(4/26/2023)
(3/20/2023)
(3/17/2023)
(3/21/2023)
Exams
Series 7TO
Date: 12/1/2020
General Securities Representative ExaminationFINRA
Current Firm
NEWOAK CAPITAL MARKETS LLC
CRD#: 104063 / SEC#: , 8-52532
Contact information
FINRA licenses (9 States and Territories)
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.
