Thomas A. Sontag
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Alan Sontag, who also goes by Tom Sontag, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2007 - December 31, 2009
NEUBERGER BERMAN MANAGEMENT LLC
May 17, 2007 - June 30, 2016
NEUBERGER BERMAN MANAGEMENT LLC
March 16, 2006 - December 31, 2021
NEUBERGER BERMAN BD LLC
November 18, 2005 - December 31, 2021
NEUBERGER BERMAN BD LLC
December 15, 1998 - May 3, 2004
STRONG INVESTMENTS, INC.
January 16, 1986 - November 25, 1998
J.P. MORGAN SECURITIES LLC
December 21, 1982 - January 28, 1986
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 2/22/1983
Interest Rate Options ExaminationCurrent Firm
NEUBERGER BERMAN MANAGEMENT LLC
CRD#: 5493 / SEC#: 801-8259, 8-16229
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEUBERGER BERMAN INVESTMENT ADVISERS LLC | MEMBER | 124687 |
| AINSWORTH, JASON RYAN | MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS | 2603762 |
| ALLARD, ANDREW BRIAN | SENIOR VICE PRESIDENT, GENERAL COUNSEL | 2531561 |
| AMATO, JOSEPH VINCENT | CEO & PRESIDENT NB HOLDINGS LLC, SOLE MEMBER OF REGISTRANT AND CHIEF INVESTMENT OFFICER-EQUITIES | 2210305 |
| CETRON, BRAD ELLIOT | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE - B/D | 4040222 |
| CONTI, ROBERT JOHN | PRESIDENT & CEO | 1266599 |
| DEMPSEY, JAMES J | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER | 1371700 |
| TANK, BRADLEY CURTIS | MANAGING DIRECTOR, CIO FIXED INCOME | 1060650 |
| WILLIAMS, CHAMAINE NATHALEE | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE - I/A | 2628906 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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