BN
Benjamin H. Nahum
NEUBERGER BERMAN BD LLC
West Palm Beach, FL 33401
Some features on this profile are disabled
CRD#: 1286821
BN
Professional summary
Benjamin Henry Nahum is a registered financial professional currently at NEUBERGER BERMAN BD LLC located in West Palm Beach, Florida.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1984. Benjamin has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Henry Nahum'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
September 17, 2008 - Present
NEUBERGER BERMAN BD LLC
Office #1: City Place Tower 525 Okeechobee Blvd Ste 850, West Palm Beach, FL 33401RIA
BD
CRD#: 2908
West Palm Beach, FL
Past
December 18, 2009 - June 30, 2016
NEUBERGER BERMAN MANAGEMENT LLC
BD
CRD#: 5493
NEW YORK, NY
Past
December 6, 2002 - September 18, 2008
DAVID J. GREENE AND COMPANY, LLC
RIA
CRD#: 2072
NEW YORK, NY
Past
November 18, 1991 - September 18, 2008
DAVID J. GREENE AND COMPANY, LLC
BD
CRD#: 2072
NEW YORK, NY
Past
April 11, 1991 - June 11, 1991
R. LEWIS SECURITIES, INC.
BD
CRD#: 7705
NEW YORK, NY
Past
February 4, 1988 - March 3, 1988
TP ICAP GLOBAL MARKETS AMERICAS LLC
BD
CRD#: 2762
Past
July 10, 1984 - January 14, 1988
TP ICAP GLOBAL MARKETS AMERICAS LLC
BD
CRD#: 2762
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.
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(2/10/2021)
RR
Arizona(2/18/2015)
RR
Arkansas(5/26/2009)
RR
California(11/18/2014)
RR
Colorado(12/15/2014)
RR
Connecticut(5/26/2009)
RR
Delaware(2/18/2015)
RR
District of Columbia(5/26/2009)
RR
Florida(5/26/2009)
RR
Georgia(2/18/2015)
RR
Hawaii(5/26/2009)
RR
Idaho(2/18/2015)
RR
Illinois(5/26/2009)
RR
Indiana(5/26/2009)
RR
Kansas(2/18/2015)
RR
Louisiana(4/15/2020)
RR
Maine(2/18/2015)
RR
Maryland(11/24/2014)
RR
Massachusetts(12/4/2014)
RR
Michigan(12/23/2020)
RR
Missouri(2/18/2015)
RR
Nevada(2/18/2015)
RR
New Hampshire(6/3/2009)
RR
New Jersey(2/18/2015)
RR
New Mexico(2/18/2015)
RR
New York(9/17/2008)
RR
North Carolina(2/20/2015)
RR
Ohio(5/26/2009)
RR
Oklahoma(2/2/2015)
RR
Oregon(10/12/2020)
RR
Pennsylvania(5/26/2009)
RR
Rhode Island(2/18/2015)
RR
Tennessee(6/16/2009)
RR
Texas(2/18/2015)
RR
Utah(2/18/2015)
RR
Vermont(2/18/2015)
RR
Virginia(5/26/2009)
RR
Washington(5/26/2009)
RR
Wisconsin(2/18/2015)
RR
Wyoming(2/10/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/8/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory 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.
