BG
Bernard C. Groveman
FIRST MANHATTAN CO. LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 1185182
BG
Professional summary
Bernard Charles Groveman, CFA is a registered financial advisor currently at FIRST MANHATTAN CO. LLC located in New York, New York and FIRST MANHATTAN SECURITIES LLC located in New York, New York.
Bernard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Bernard has worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 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 Chatham House Foundation Inc. c/o Roha & Flaherty, 1725 I Street NW, Washington, DC 20006 Public Charity whose mission is to promote study of international affairs Treasurer & Director since 2013 (investment related) 2 hours per month spend on outside business, 0 hours during trading hours no compenstion
CRS (Client Relationship Summary) - RIA
Click below to view Bernard Charles Groveman's 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®
Experience
Current
February 16, 2023 - Present
FIRST MANHATTAN CO. LLC
Office #1: 399 Park Avenue, New York, NY 10022RIA
CRD#: 325281
New York, NY
Current
April 4, 1990 - Present
FIRST MANHATTAN SECURITIES LLC
Office #1: 399 Park Avenue, New York, NY 10022BD
CRD#: 1845
New York, NY
Past
May 18, 2021 - March 10, 2023
FIRST MANHATTAN SECURITIES LLC
RIA
CRD#: 1845
New York, NY
Past
September 5, 1985 - June 7, 1988
FIRST MANHATTAN SECURITIES LLC
BD
CRD#: 1845
Past
June 6, 1984 - October 26, 1984
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
Past
October 19, 1983 - May 18, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BD
CRD#: 7555
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".
FM
FIRST MANHATTAN CO. LLC
FIRST MANHATTAN CO. LLC
CRD#: 325281 / SEC#: 801-12411
RIA
Registered Investment Advisory firm - (1/13/1977 Approved)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.RR
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
RR
Alaska(11/12/2025)
RR
Arizona(4/5/2000)
RR
California(8/19/1994)
RR
Colorado(5/18/1999)
RR
Connecticut(6/30/1999)
RR
Delaware(4/24/2019)
RR
District of Columbia(8/26/1994)
RR
Florida(8/23/1994)
RR
Georgia(9/21/1998)
RR
Idaho(4/24/2019)
RR
Illinois(3/5/1993)
RR
Indiana(8/14/2023)
RR
Iowa(7/6/1999)
RR
Kentucky(4/24/2019)
RR
Louisiana(1/17/2013)
RR
Maine(11/2/2005)
RR
Maryland(8/10/1994)
RR
Massachusetts(8/19/1994)
RR
Michigan(8/22/1994)
RR
Minnesota(10/2/2024)
RR
Montana(8/14/2023)
RR
Nebraska(2/25/2002)
RR
Nevada(5/2/2012)
RR
New Hampshire(9/9/2003)
RR
New Jersey(3/28/1991)
RR
New Mexico(5/1/2003)
RR
New York(4/16/1990)
IAR
New York(2/16/2023)
RR
North Carolina(10/21/1998)
RR
Ohio(5/1/1997)
RR
Oklahoma(4/24/2019)
RR
Oregon(7/24/2023)
RR
Pennsylvania(10/26/1995)
RR
Rhode Island(7/24/2023)
RR
South Carolina(11/23/2018)
RR
South Dakota(1/2/2015)
RR
Tennessee(8/8/2016)
RR
Texas(8/22/1994)
RR
Utah(7/24/2023)
RR
Vermont(11/17/2014)
RR
Virginia(4/23/1996)
RR
Washington(7/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
FM
FIRST MANHATTAN CO. LLC
FIRST MANHATTAN CO. LLC
CRD#: 325281 / SEC#: 801-12411
RIA
Registered Investment Advisory firm - (1/13/1977 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
399 Park Avenue, New York, NY 10022
Mailing Address
Phone number
(212) 756-3300
Established
Firm type
Fiscal year end
# of Employees
132
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,722 |
| AUM (Assets Under Management) | $ 34,439,571,092 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/25/2024 | ||
| 11/28/2023 |
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.
