Olaf Neubert
Professional Summary
Olaf Neubert is a registered financial advisor currently at TOPCAP PARTNERS, INC. located in Southampton, New York. Olaf is registered as a RR (Registered Representative) and started their career in finance in 2010. Olaf has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
16 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
TOPCAP PARTNERS, INC.
Contact Information
Main Address
63 Main Street, Suite 202, Southampton, NY 11968Mailing Address
63 Main Street, Suite 202, Southampton, NY 11968Phone Number
(631) 287-6035Established
New York since 02/17/2016Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/26/2018)
(11/14/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Olaf Neubert's CRS (Customer Relationship Summary).
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