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MN

Matthew E. Neuringer

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CRD#: 5739883
MN

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Matthew E Neuringer was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2009. Matthew had worked at 2 firms and has passed the Series 63 and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 24, 2010 - December 26, 2013

JOSEPH CAPITAL, LLC

BD
CRD#: 120414
COLUMBUS, OH
Past

December 24, 2009 - November 9, 2010

SILVER SPRING SECURITIES, LLC

BD
CRD#: 46970
RIDGEFIELD, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/2009
General Securities Representative Examination

Current Firm

JC
JOSEPH CAPITAL, LLC
CONCENTRIC CAPITAL PARTNERS, LLC | JOSEPH CAPITAL, LLC

CRD#: 120414 / SEC#: , 8-65293

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

Main Address
15 Calle Taft, Apt. 502, San Juan, PR 00911-1282
Mailing Address
15 Calle Taft, Apt. 502, San Juan, PR 00911-1282
Phone number
(917) 817-7674
Established
Delaware since 02/28/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JOSEPH ADVISORS LTD.MEMBER
MILLER, JOHN STEVENSONCHIEF FINANCIAL OFFICER2139980
ROSS, MICHAEL PHILLIPCEO / CCO3133134

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

JOSEPH CAPITAL, LLC

CRD#: 120414

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