Katherine Louise Thomas

Neuberger Berman Bd LLC

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Current Employers

Neuberger Berman Bd Llc

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2025-06-03
NY	RA	APPROVED	2025-06-03

NJ RA
APPROVED

Since 2025-06-03
NY RA
APPROVED

Since 2025-06-03

Branch Locations

New York, NY • United States

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

Organization	City	State	From	To
Neuberger Berman	New York	NY	11/2024	Present
Morgan Stanley	Boston	MA	06/2023	08/2023
Diamond Communications	Springfield	NJ	06/2022	08/2022
Colgate University	Hamilton	NY	08/2020	05/2024
Unemployed	N/A	XX	05/2024	11/2024
Unemployed	N/A	XX	12/2014	08/2020

11/2024 → Present

Neuberger Berman

New York, NY
06/2023 → 08/2023

Morgan Stanley

Boston, MA
06/2022 → 08/2022

Diamond Communications

Springfield, NJ
08/2020 → 05/2024

Colgate University

Hamilton, NY
05/2024 → 11/2024

Unemployed

N/A, XX
12/2014 → 08/2020

Unemployed

N/A, XX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-05-31

S66 Uniform Combined State Law Examination

2025-05-31

Other Names

Katherine L Thomas
Kate Thomas

View on SEC IAPD

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