Thomas Patrick Monks

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → 09/2021
  Hartford Funds Distributors, Llc
  Radnor, PA
• 09/2021 → 08/2025
  Dws Distributors, Inc.
  Chicago, IL
• 09/2025 → Present
  Neuberger Berman
  New York, NY

Previous Registrations

• 2015-05-18 → 2021-09-21
  Hartford Funds
  Manhattan Beach, CA
  Wayne, PA
  Pasadena, CA
• 2011-11-15 → 2014-12-17
  First Trust Advisors Lp
  Wheaton, IL
• 2010-06-07 → 2011-11-09
  Invesco Advisers, Inc.
  Atlanta, GA
• 2006-02-08 → 2010-06-03
  Van Kampen Advisors Inc
  Manhattan Beach, CA
  Houston, TX
• 2005-03-24 → 2006-02-02
  Morgan Stanley Dw Inc.
  New York, NY

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-11-26
• S63 Uniform Securities Agent State Law Examination
  1997-02-14

Other Names

• Thomas Patrick Monks
• Thomas P Monks