Derek Lloyd Neubauer

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2021-06-23

KS RA
APPROVED

Since 2021-06-23

Branch Locations

4400 College Boulevard Suite 195, Overland Park, KS 66211 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Royal Alliance	Leawood	KS	09/2020	Present
Jose Peppers	Overland Park	KS	06/2019	09/2019
Student	Overland Park	KS	09/2002	05/2020
Goodwin Landscaping	Overland Park	KS	05/2020	07/2020
North Italia	Leawood	KS	08/2020	09/2020

09/2020 → Present

Royal Alliance

Leawood, KS
06/2019 → 09/2019

Jose Peppers

Overland Park, KS
09/2002 → 05/2020

Student

Overland Park, KS
05/2020 → 07/2020

Goodwin Landscaping

Overland Park, KS
08/2020 → 09/2020

North Italia

Leawood, KS

Other Businesses

1. VANTAGE POINTE FINANCIAL GROUP POSITION: Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/16/2021 ADDRESS: 4400 College Blvd. Suite 195, Overland Park KS 66211, United States DESCRIPTION: Sales of securities/insurance products

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-06-11

S66 Uniform Combined State Law Examination

2021-06-11

View on SEC IAPD

Current Employers

Osaic Wealth, Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Firms

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