NN
Nathan J. Neubauer
FORESIDE FUND SERVICES
Mission Woods, KS 66205
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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.
CRS (Client Relationship Summary) - BD
Click below to view Nathan Joseph Neubauer'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®
NoneExperience
Current
May 1, 2026 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 1900 Shawnee Mission Parkway Suite 315, Mission Woods, KS 66205BD
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
General Industry/Product Exam
RR
Series 7TO
Date: 5/1/2026
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FORESIDE FUND SERVICES, LLC
CRD#: 46106Mission Woods, KS 66205TRUST BUT VERIFY
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