John H. Neuberger
Professional summary
John Henry Neuberger was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1965. Prior to being barred, John had worked at 6 firms, which includes FELTL & COMPANY, MILLER JOHNSON STEICHEN KINNARD INC., ROBERT S. C. PETERSON INC., NOBLE SECURITIES CO., MARGOLIS & CO. INC., LOEWI & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2002 - November 30, 2017
FELTL & COMPANY
April 3, 1984 - September 16, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
December 23, 1981 - March 21, 1984
ROBERT S. C. PETERSON, INC.
January 5, 1978 - October 1, 1981
NOBLE SECURITIES CO.
December 30, 1970 - February 16, 1979
MARGOLIS & CO., INC.
January 8, 1965 - January 18, 1971
LOEWI & CO., 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
Exams
Series 00
Date: 1/21/1971
General Securities Principal ExaminationCurrent Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
