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Ty Eric Neubauer

Spectrum Asset Management Inc

Newport Beach, CA

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Current Employers
Spectrum Asset Management Inc

1301 Dove Street Suite 720, Newport Beach, CA 92660-2453 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-03-05
  • CA RA
    APPROVED
    Since 2018-03-05

Branch Locations

1301 Dove Street Suite 720, Newport Beach, CA 92660-2453 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Spectrum Asset Management, Inc. Newport Beach CA 01/2012 Present
University Of California, Riverside Riverside CA 08/2015 09/2017
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-03-05
  • S65 Uniform Investment Adviser Law Examination
    2018-03-05

View on SEC IAPD

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