Katherine S. Neubert
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.
Katherine Siena Neubert, who also goes by Katherine Neubert, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2015. Katherine had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2020 - June 6, 2023
YIELDSTREET MARKETS LLC
August 3, 2015 - September 15, 2020
NOMURA SECURITIES INTERNATIONAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
YIELDSTREET MARKETS LLC
CRD#: 172295 / SEC#: , 8-69506
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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