Charles W. Neuhauser

MAINWALL INVESTMENT MANAGEMENT

Tuxedo Park, NY

Some features on this profile are disabled

CRD#: 854969

Professional summary

Charles William Neuhauser is a registered financial advisor currently at MAINWALL INVESTMENT MANAGEMENT, LLC located in Tuxedo Park, New York.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Charles has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Charles William Neuhauser'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

June 7, 2021 - Present

MAINWALL INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 156091

Tuxedo Park, NY

Past

May 16, 1989 - July 23, 1991

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

February 24, 1987 - May 15, 1989

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

January 9, 1985 - July 28, 1986

AMERICAN SECURITIES BD CO., L.P.

CRD#: 41

Past

May 3, 1983 - January 16, 1985

DEUTSCHE BANK CAPITAL CORPORATION

CRD#: 5323

Past

April 5, 1982 - July 11, 1983

BAIRD, PATRICK & CO., INC.

CRD#: 1149

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(6/7/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/7/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/10/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/15/1978

General Securities Representative Examination

Current Firm

MAINWALL INVESTMENT MANAGEMENT, LLC

CRD#: 156091 / SEC#:

New York

Registered Investment Advisory firm - (3/28/2011 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Tuxedo Park, NY

Mailing Address

Phone number

(646) 673-5371

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	25
AUM (Assets Under Management)	$ 11,619,888

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles W. Neuhauser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles William Neuhauser's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAINWALL INVESTMENT MANAGEMENT, LLC

LEGG MASON WOOD WALKER, INCORPORATED

J.P. MORGAN SECURITIES LLC

AMERICAN SECURITIES BD CO., L.P.

DEUTSCHE BANK CAPITAL CORPORATION

BAIRD, PATRICK & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/7/1991

Series 63

Date: 8/10/1989

Series 7

Date: 7/15/1978

Current Firm

MAINWALL INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MAINWALL INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors