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Current Employers
Neuberger Berman Bd Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-04-12
  • NY RA
    APPROVED
    Since 2022-04-12

Branch Locations

Brooklyn, NY • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
G.rEsearch, Llc Rye NY 06/2014 02/2018
Gamco Investors, Inc. Rye NY 02/2018 12/2021
Neuberger Berman New York NY 01/2022 Present
  • 06/2014 → 02/2018
    G.rEsearch, Llc
    Rye, NY
  • 02/2018 → 12/2021
    Gamco Investors, Inc.
    Rye, NY
  • 01/2022 → Present
    Neuberger Berman
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-04-08
  • S63 Uniform Securities Agent State Law Examination
    2022-04-08
Designations

View on SEC IAPD

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