Hector L. Maldonado
Professional summary
Hector Luis Maldonado, who also goes by Hector L Maldonado, Hector Luis Maldonado, Hector Maldonado, Hector Luis Maldonado Jr., is a registered financial professional currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Hector is registered as a RR (Registered Representative) and started their career in finance in 2006. Hector has worked at 4 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Hector Luis Maldonado's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 9, 2020 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104September 30, 2015 - March 9, 2020
PERSHING LLC
February 14, 2006 - October 15, 2015
J.P. MORGAN SECURITIES LLC
February 14, 2006 - October 15, 2015
J.P. MORGAN CLEARING CORP.
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
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
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