Mindy Schwartzapfel

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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-03-31
NJ	RA	APPROVED	2013-08-19

NY RA
APPROVED

Since 2021-03-31
NJ RA
APPROVED

Since 2013-08-19

Branch Locations

Roslyn Heights, NY • 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

Organization	City	State	From	To
Neubegrer Berman, Llc	New York	NY	06/1998	Present
Neuberger Berman	New York	NY	07/2008	Present

06/1998 → Present

Neubegrer Berman, Llc

New York, NY
07/2008 → Present

Neuberger Berman

New York, NY

Other Businesses

Neuberger Berman BD LLC ("NBBD") is a wholly owned subsidiary of Neuberger Berman Investment Advisers LLC, ("NBIA") a registered investment adviser, which shares offices with each NBBD office. Concurrent with the Registered Representative's duties to NBBD throughout the Registered Representative's period of employment at NBBD, they also provide portfolio management services to various NBBD clients, including separate accounts and pooled investment vehicles, which are managed by NBIA, on an ongoing basis.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-08-15
S63	Uniform Securities Agent State Law Examination	2001-11-30

S65 Uniform Investment Adviser Law Examination

2013-08-15
S63 Uniform Securities Agent State Law Examination

2001-11-30

Other Names

Mindy Goldfarb

View on SEC IAPD