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Carolina Maria Lopez

Neuberger Berman Bd LLC

New York, NY

Forest Hills, NY

CRD 4710880

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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 2021-03-25
NJ RA APPROVED 2008-08-21
  • NY RA
    APPROVED
    Since 2021-03-25
  • NJ RA
    APPROVED
    Since 2008-08-21

Branch Locations

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

Forest Hills, NY • 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
Neuberger Berman, Llc New York NY 08/2007 Present
  • 08/2007 → Present
    Neuberger Berman, Llc
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-08-20
S63 Uniform Securities Agent State Law Examination 2005-08-22
  • S65 Uniform Investment Adviser Law Examination
    2008-08-20
  • S63 Uniform Securities Agent State Law Examination
    2005-08-22
Other Names
  • Carolina M Lopez

View on SEC IAPD

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