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NN

Nathan J. Neubauer

FORESIDE FUND SERVICES
Mission Woods, KS 66205
Some features on this profile are disabled
CRD#: 6195836
NN

Professional summary

Nathan Joseph Neubauer, who also goes by Nathan Neubauer, Nate Neubauer, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Mission Woods, Kansas.

Nathan is registered as a RR (Registered Representative) and started their career in finance in 2014. Nathan has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nathan Neubauer | Nate Neubauer

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 Nathan Joseph Neubauer's CRS (Customer Relationship Summary).
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

May 1, 2026 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 1900 Shawnee Mission Parkway Suite 315, Mission Woods, KS 66205
BD
CRD#: 46106
Mission Woods, KS
Past

January 22, 2024 - January 16, 2026

MIDDLE MARKET TRANSACTIONS, INC.

BD
CRD#: 133062
ST. LOUIS, MO
Past

July 6, 2022 - October 26, 2023

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
Los Angeles, CA
Past

July 11, 2018 - August 11, 2022

FOCALPOINT SECURITIES, LLC

BD
CRD#: 133168
LOS ANGELES, CA
Past

August 19, 2014 - October 5, 2017

D.A. DAVIDSON & CO.

BD
CRD#: 199
COSTA MESA, CA

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
Alabama
(5/6/2026)
RR
California
(5/6/2026)
RR
Colorado
(5/7/2026)
RR
Connecticut
(5/7/2026)
RR
Delaware
(5/6/2026)
RR
Florida
(5/7/2026)
RR
Georgia
(5/7/2026)
RR
Idaho
(5/7/2026)
RR
Iowa
(5/6/2026)
RR
Kansas
(5/4/2026)
RR
Kentucky
(5/8/2026)
RR
Louisiana
(5/6/2026)
RR
Maine
(5/6/2026)
RR
Massachusetts
(5/7/2026)
RR
Michigan
(5/8/2026)
RR
Minnesota
(5/6/2026)
RR
Mississippi
(5/7/2026)
RR
Missouri
(5/7/2026)
RR
Nebraska
(5/8/2026)
RR
Nevada
(5/6/2026)
RR
New Hampshire
(5/7/2026)
RR
New Jersey
(5/6/2026)
RR
New Mexico
(5/7/2026)
RR
New York
(5/7/2026)
RR
Ohio
(5/6/2026)
RR
Pennsylvania
(5/7/2026)
RR
Rhode Island
(5/7/2026)
RR
South Carolina
(5/7/2026)
RR
South Dakota
(5/6/2026)
RR
Tennessee
(5/7/2026)
RR
Texas
(5/7/2026)
RR
Utah
(5/7/2026)
RR
Vermont
(5/6/2026)
RR
Virginia
(5/7/2026)
RR
Washington
(5/7/2026)
RR
Wisconsin
(5/8/2026)
RR
Wyoming
(5/8/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/29/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/1/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/19/2014
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 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#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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

FORESIDE FUND SERVICES, LLC

CRD#: 46106Mission Woods, KS 66205

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