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Nathan J. Neubauer

MIDDLE MARKET TRANSACTIONS
ST. LOUIS, MO 63144
Some features on this profile are disabled
CRD#: 6195836
NN

Professional summary

Nathan Joseph Neubauer, who also goes by Nate Neubauer, Nathan Neubauer, is a registered financial professional currently at MIDDLE MARKET TRANSACTIONS, INC. located in St. Louis, Missouri.

Nathan is registered as a RR (Registered Representative) and started their career in finance in 2014. Nathan has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nate Neubauer | Nathan 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).

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

January 22, 2024 - Present

MIDDLE MARKET TRANSACTIONS, INC.

Office #1: 1401 S. Brentwood Ave. Suite 600, St. Louis, MO 63144
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
Missouri
(1/23/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/29/2014
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 79
Date: 8/19/2014
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MM
MIDDLE MARKET TRANSACTIONS, INC.
MIDDLE MARKET TRANSACTIONS, INC.

CRD#: 133062 / SEC#: , 8-66675

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

Main Address
1401 S. Brentwood Ave. Suite 600, St. Louis, MO 63144
Mailing Address
3 Sandhill Drive, Decatur, IL 62521
Phone number
(217) 429-0202
Established
Illinois since 08/11/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NOLAN, PATRICK JOSEPHPRESIDENT & CEO5775442
NOLAN, PATRICK CURTISCHAIRMAN/CCO/TREAS/SOLE-DIRECTOR/PRINCIPAL OPERATIONS OFFICER2614419
SLOAN NOWAK, JACQUELINE LEEFINOP, PRINCIPAL FINANCIAL OFFICER2717305

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

MIDDLE MARKET TRANSACTIONS, INC.

CRD#: 133062St. Louis, MO 63144

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