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Thuan Tan Tranthien Nguyen

Neuberger Berman Bd LLC

New York, NY

Shanghai

CRD 4426562

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Employer firm

Neuberger Berman Bd LLC CRD 2908

Reported services (Item 5G)

  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Neuberger Berman Bd Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-03-19
NJ RA APPROVED 2006-09-26
  • NY RA
    APPROVED
    Since 2021-03-19
  • NJ RA
    APPROVED
    Since 2006-09-26

Branch Locations

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

Units 704-708, Hkri Centre Two, Hkri Taikoo Hui 288 Shi Men Yi Road, Jing'aN District, Shanghai 200041 • China

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
Neuberger Berman, Llc New York NY 09/2006 03/2023
Neuberger Berman Shanghai 03/2023 Present
  • 09/2006 → 03/2023
    Neuberger Berman, Llc
    New York, NY
  • 03/2023 → Present
    Neuberger Berman
    Shanghai
Previous Registrations
  • 2006-08-30 → 2006-09-27
    Lehman Brothers Inc.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-08-29
S63 Uniform Securities Agent State Law Examination 2001-08-04
  • S65 Uniform Investment Adviser Law Examination
    2006-08-29
  • S63 Uniform Securities Agent State Law Examination
    2001-08-04
Designations
  • Chartered Financial Analyst
Other Names
  • Thuan Charles Nguyen
  • Thuan Tan Nguyen

View on SEC IAPD

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