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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 2021-03-25
NJ RA APPROVED 2016-12-21
  • NY RA
    APPROVED
    Since 2021-03-25
  • NJ RA
    APPROVED
    Since 2016-12-21

Branch Locations

City Place Tower 525 Okeechobee Blvd Ste 850, West Palm Beach, FL 33401 • United States

Jacksonville, FL • 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 West Palm Beach FL 01/2016 Present
  • 01/2016 → Present
    Neuberger Berman
    West Palm Beach, FL
Other Businesses

1) 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. 2) Managing Member of Holding Company LLC, a limited liability company established for the purpose of holding personal assets in connection with estate planning. In this capacity, I am responsible for making investment decisions on behalf of the entity. This role commenced on April 23, 2026. I do not receive, nor am I entitled to receive, any form of compensation in connection with this role. Given the purely personal and estate planning nature of the LLC, no business hours are devoted to this activity during or outside of regular business hours. I hold a 100% financial interest in Holding Company LLC, with the specific dollar value of that interest to be determined. This entity exists solely to facilitate personal estate planning objectives and does not engage in any business activities that would give rise to a conflict of interest with my duties as a registered representative. Accordingly, I do not believe this outside activity conflicts with the interests of my employer or its clients in any respect.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-19
  • S66 Uniform Combined State Law Examination
    2016-12-19

View on SEC IAPD

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