Thomas S. Collins

NEUBERGER BERMAN BD LLC

New York, NY 10104

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CRD#: 1178526

Professional summary

Thomas Sean Collins is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Sean Collins's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Sean Collins's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 14, 2012 - Present

NEUBERGER BERMAN BD LLC

Office #1: 1290 Avenue Of The Americas, New York, NY 10104

RIA

CRD#: 2908

New York, NY

Current

August 21, 2012 - Present

NEUBERGER BERMAN BD LLC

Office #1: 1290 Avenue Of The Americas, New York, NY 10104

RIA

CRD#: 2908

New York, NY

Past

November 28, 1997 - July 9, 1999

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

June 18, 1985 - June 26, 1987

INVEST FINANCIAL CORPORATION

CRD#: 12984

Past

August 18, 1983 - October 28, 1983

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEUBERGER BERMAN BD LLC

NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC

CRD#: 2908 / SEC#: 801-3908, 8-1068

RIA

Registered Investment Advisory firm - SEC (1/26/1966 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(12/14/2012)

IAR

New Jersey
(12/14/2012)

New York
(12/14/2012)

IAR

New York
(3/26/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/13/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/3/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/17/1983

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

NEUBERGER BERMAN BD LLC

NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC

CRD#: 2908 / SEC#: 801-3908, 8-1068

RIA

Registered Investment Advisory firm - SEC (1/26/1966 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1290 Avenue Of The Americas, New York, NY 10104

Mailing Address

1290 Avenue Of The Americas, New York, NY 10104

Phone number

(212) 476-9000

Established

Delaware since 11/01/1996

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,058

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLC	MEMBER	124687
AMATO, JOSEPH VINCENT	PRESIDENT, CHIEF EXECUTIVE OFFICER	2210305
CETRON, BRAD ELLIOT	CHIEF COMPLIANCE OFFICER	4040222
CHINNI, MICHAEL	CHIEF FINANCIAL OFFICER	5721816
HENTON, LORIN FRED	MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS	3014463

Disclosures

Regulatory Event	20
Arbitration	5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas S. Collins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Sean Collins's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Sean Collins's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

GUARANTY BROKERAGE SERVICES, INC.

INVEST FINANCIAL CORPORATION

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/2012

Series 63

Date: 8/3/1985

SIE

Date: 10/1/2018

Series 7

Date: 8/20/2012

Series 6

Date: 8/17/1983

FINRA

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

NEUBERGER BERMAN BD LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEUBERGER BERMAN BD LLC

TRUST BUT VERIFY

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