DR
David M. Ross
NEUBERGER BERMAN BD LLC
New York, NY 10104
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CRD#: 1249483
DR
Professional summary
David Mallory Ross is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
Neuberger Berman BD LLC ("NBBD") is a wholly owned subsidiary of Neuberger Berman Investment Advisers LLC, ("NBIA") a registered investment adviser, which shares offices with each NBBD office. Concurrent with the Registered Representative's duties to NBBD throughout the Registered Representative's period of employment at NBBD, they also provide portfolio management services to various NBBD clients, including separate accounts and pooled investment vehicles, which are managed by NBIA, on an ongoing basis.
CRS (Client Relationship Summary) - RIA
Click below to view David Mallory Ross's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Mallory Ross'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®
NoneExperience
Current
July 15, 2005 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
July 15, 2005 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
July 1, 2003 - July 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW YORK, NY
Past
July 1, 2003 - July 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 14, 1988 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
NEW YORK, NY
Past
July 14, 1988 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 15, 1988 - July 28, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 3, 1984 - February 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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)BD
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.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
Alabama(10/25/2022)
RR
Arizona(7/15/2005)
RR
California(7/15/2005)
RR
Colorado(7/15/2005)
RR
Connecticut(7/15/2005)
RR
Delaware(7/15/2005)
RR
District of Columbia(7/15/2005)
RR
Florida(7/15/2005)
RR
Georgia(1/7/2016)
RR
Hawaii(1/20/2010)
RR
Idaho(9/17/2015)
RR
Illinois(7/15/2005)
RR
Indiana(7/15/2005)
RR
Louisiana(12/14/2012)
RR
Maine(7/15/2005)
RR
Maryland(7/15/2005)
RR
Massachusetts(7/15/2005)
RR
Michigan(7/15/2005)
RR
Minnesota(10/4/2007)
RR
Missouri(1/7/2016)
RR
Montana(4/30/2025)
RR
Nevada(3/6/2015)
RR
New Hampshire(7/15/2005)
RR
New Jersey(7/15/2005)
IAR
New Jersey(7/28/2005)
RR
New Mexico(7/15/2005)
RR
New York(7/15/2005)
IAR
New York(3/26/2021)
RR
North Carolina(7/15/2005)
RR
Ohio(7/15/2005)
RR
Oklahoma(12/18/2013)
RR
Oregon(7/15/2005)
RR
Pennsylvania(7/15/2005)
RR
Puerto Rico(12/14/2012)
RR
Rhode Island(6/14/2018)
RR
South Carolina(1/7/2016)
RR
Tennessee(12/14/2012)
RR
Texas(7/15/2005)
RR
Utah(1/7/2016)
RR
Vermont(7/15/2005)
RR
Virginia(7/15/2005)
RR
Washington(12/14/2012)
RR
West Virginia(12/14/2012)
RR
Wisconsin(1/7/2016)
RR
Wyoming(7/15/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
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)BD
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)
Direct owners and executive officers
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.
