Peter Theodore Arbes
Professional Summary
Peter Theodore Arbes is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Tampa, Florida. Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Peter has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Investment Management
- Financial Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC
Contact Information
Main Address
1290 Avenue Of The Americas, New York, NY 10104Mailing Address
1290 Avenue Of The Americas, New York, NY 10104Phone Number
(212) 476-9000Established
Delaware since 11/01/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
1,087SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
20Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC
State Registrations and Notice Filings
(3/12/2025)
(1/23/2015)
(6/26/2009)
(9/5/2014)
(3/2/2004)
(8/22/2011)
(3/2/2004)
(5/7/2007)
(3/2/2004)
(3/2/2004)
(7/20/2024)
(1/4/2013)
(9/6/2006)
(2/28/2017)
(8/22/2011)
(3/12/2025)
(3/12/2025)
(3/12/2025)
(1/28/2014)
(2/4/2021)
(10/22/2014)
(3/2/2004)
(10/30/2009)
(1/4/2013)
(8/15/2014)
(3/12/2025)
(3/12/2025)
(3/12/2025)
(2/3/2016)
(2/3/2016)
(3/12/2025)
(3/2/2004)
(3/17/2004)
(7/22/2020)
(3/2/2004)
(3/26/2021)
(12/6/2018)
(3/12/2025)
(1/5/2013)
(12/12/2024)
(6/29/2017)
(3/2/2004)
(3/12/2025)
(3/12/2025)
(9/4/2007)
(3/12/2025)
(6/19/2017)
(3/2/2004)
(4/15/2020)
(3/12/2025)
(3/12/2025)
(10/30/2009)
(9/5/2014)
(2/20/2008)
(3/12/2025)
(3/12/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Aug 1985About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed Aug 1985About the Series 39 examSRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Peter Theodore Arbes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Theodore Arbes's CRS (Customer Relationship Summary).
Services Offered by Peter
- Investment Management
- Financial Planning
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