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David Moreau Smith

Neuberger Berman Bd LLC

Southport, CT

San Francisco, CA

New York, NY

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Current Employers
Neuberger Berman Bd Llc

1290 Avenue Of The Americas, New York, NY 10104 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-03-03
CT RA APPROVED 2024-07-01
NY RA APPROVED 2021-09-10
  • CA RA
    APPROVED
    Since 2026-03-03
  • CT RA
    APPROVED
    Since 2024-07-01
  • NY RA
    APPROVED
    Since 2021-09-10

Branch Locations

Southport, CT • United States

655 Montgomery Street Suite 1710, San Francisco, CA 94111 • United States

1290 Avenue Of The Americas, New York, NY 10104 • 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
U.S. Trust Bank Of America Private Wealth Management New York NY 01/2013 07/2018
Citigroup New York NY 07/2018 09/2021
Neuberger Berman New York NY 09/2021 Present
  • 01/2013 → 07/2018
    U.S. Trust Bank Of America Private Wealth Management
    New York, NY
  • 07/2018 → 09/2021
    Citigroup
    New York, NY
  • 09/2021 → Present
    Neuberger Berman
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-23
S63 Uniform Securities Agent State Law Examination 2007-12-17
S65 Uniform Investment Adviser Law Examination 2005-02-11
  • S66 Uniform Combined State Law Examination
    2018-08-23
  • S63 Uniform Securities Agent State Law Examination
    2007-12-17
  • S65 Uniform Investment Adviser Law Examination
    2005-02-11
Other Names
  • David Moreau Smith
  • David Smith

View on SEC IAPD

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