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Seth Joseph Finkel

Neuberger Berman Bd LLC

New York, NY

Tenafly, NJ

CRD 1366138

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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 2021-03-26
NJ RA APPROVED 2002-07-05
OK RA APPROVED 1997-02-18
  • NY RA
    APPROVED
    Since 2021-03-26
  • NJ RA
    APPROVED
    Since 2002-07-05
  • OK RA
    APPROVED
    Since 1997-02-18

Branch Locations

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

Tenafly, NJ • 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 10/1990 Present
  • 10/1990 → Present
    Neuberger Berman, Llc
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-01-13
S63 Uniform Securities Agent State Law Examination 1991-03-25
  • S65 Uniform Investment Adviser Law Examination
    1995-01-13
  • S63 Uniform Securities Agent State Law Examination
    1991-03-25

View on SEC IAPD

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