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Raymond Bernard Carroll

Neuberger Berman Bd LLC

New York, NY

Toronto, On

CRD 5863755

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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 2021-02-25
NJ RA APPROVED 2018-10-26
  • NY RA
    APPROVED
    Since 2021-02-25
  • NJ RA
    APPROVED
    Since 2018-10-26

Branch Locations

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

Bay Wellington Tower 181 Bay St, Suite 815, Toronto, On M5J 2V1 • Canada

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 Breton Hill Ulc Toronto 04/2010 Present
Neuberger Berman Bd Llc Toronto 11/2017 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-06-12
  • S63 Uniform Securities Agent State Law Examination
    2019-06-12
Other Names
  • Ray Bernard Carroll

View on SEC IAPD

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