Howard T. Taylor
NEUBERGER BERMAN BD LLC | Managing Director
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 1305532
Professional summary
Howard Tripp Taylor, who also goes by Tripp Howard Taylor, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in San Francisco, California.
Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Howard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Financial planning
Philanthropic services
Retirement planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
10M
Are you a "fiduciary"?
Yes
Aliases
Tripp Howard Taylor
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) - RIA
Click below to view Howard Tripp Taylor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Howard Tripp Taylor'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
February 18, 2003 - Present
NEUBERGER BERMAN BD LLC
Office #1: 655 Montgomery Street Suite 1710, San Francisco, CA 94111RIA
BD
CRD#: 2908
San Francisco, CA
Current
February 18, 2003 - Present
NEUBERGER BERMAN BD LLC
Office #1: 655 Montgomery Street Suite 1710, San Francisco, CA 94111RIA
BD
CRD#: 2908
San Francisco, CA
Past
November 3, 2000 - February 18, 2003
CITY NATIONAL ROCHDALE
RIA
CRD#: 117198
SAN FRANCISCO, CA
Past
July 24, 1998 - February 18, 2003
CNR SECURITIES, LLC
BD
CRD#: 18466
NEW YORK, NY
Past
August 5, 1997 - February 13, 1998
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
May 30, 1995 - November 1, 1996
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
Past
January 31, 1995 - April 5, 1995
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
January 11, 1994 - January 31, 1995
TRANSAMERICA FUND DISTRIBUTORS, INC.
BD
CRD#: 3554
HOUSTON, TX
Past
March 4, 1992 - September 29, 1992
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
Past
January 31, 1987 - December 31, 1990
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
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
Arizona(2/18/2003)
RR
California(2/18/2003)
IAR
California(2/18/2003)
RR
Colorado(2/18/2003)
RR
Connecticut(9/27/2016)
RR
Delaware(1/7/2014)
RR
District of Columbia(2/8/2005)
RR
Florida(2/25/2013)
RR
Georgia(11/13/2018)
RR
Hawaii(1/2/2025)
RR
Idaho(4/8/2004)
RR
Iowa(12/4/2008)
RR
Louisiana(1/27/2016)
RR
Maine(7/6/2015)
RR
Maryland(7/9/2010)
RR
Massachusetts(3/29/2016)
RR
Michigan(1/20/2015)
RR
Missouri(12/4/2008)
RR
Montana(2/18/2003)
RR
Nevada(2/18/2003)
RR
New Hampshire(3/20/2015)
RR
New Jersey(6/22/2005)
IAR
New Jersey(6/24/2005)
RR
New Mexico(2/18/2003)
RR
New York(2/18/2003)
IAR
New York(3/26/2021)
RR
North Carolina(12/5/2008)
RR
Oregon(2/18/2003)
RR
Pennsylvania(6/24/2014)
RR
South Dakota(12/4/2008)
RR
Tennessee(6/7/2006)
RR
Texas(2/18/2003)
RR
Virginia(2/7/2005)
RR
Washington(2/18/2003)
RR
West Virginia(1/7/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
Company Information
NEUBERGER BERMAN BD LLC
Managing DirectorCRD#: 2908San Francisco, CA 94111TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
