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Olaf Neubert

TOPCAP PARTNERS
Southampton, NY 11968
Some features on this profile are disabled
CRD#: 5121437
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Professional summary

Olaf Neubert is a registered financial professional 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.

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 Olaf Neubert'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

July 27, 2016 - Present

TOPCAP PARTNERS, INC.

Office #1: 63 Main Street, Suite 202, Southampton, NY 11968Office #2: 63 Main Street, Suite 202, Southampton, NY 11968
BD
CRD#: 283457
Southampton, NY
Past

December 18, 2013 - July 27, 2016

TOP CAPITAL ADVISORS, INC.

BD
CRD#: 166881
Southampton, NY
Past

January 19, 2010 - July 12, 2013

IVP CAPITAL, LLC

BD
CRD#: 104197
WATER MILL, 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
Delaware
(10/26/2018)
RR
New York
(11/14/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 1/25/2010
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 7
Date: 1/18/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/17/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TP
TOPCAP PARTNERS, INC.
TOPCAP PARTNERS, INC.

CRD#: 283457 / SEC#: , 8-69755

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
63 Main Street, Suite 202, Southampton, NY 11968
Mailing Address
63 Main Street, Suite 202, Southampton, NY 11968
Phone number
(631) 287-6035
Established
New York since 02/17/2016
Firm type
Corporation
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#
NEUBERT, OLAFPRESIDENT/CCO5121437
GEORGE, KENNETH RONALDCFO/FINOP2643369

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

TOPCAP PARTNERS, INC.

CRD#: 283457Southampton, NY 11968

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