Virginia M. Guy
NEUBERGER BERMAN BD LLC | Managing Director
West Palm Beach, FL 33401
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CRD#: 1394586
Professional summary
Virginia Marie Guy, who also goes by VIrginia M Rooney, Virginia Marie Rooney, Virginia M Wolfe, Virginia Marie Wolfe, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in West Palm Beach, Florida.
Virginia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Virginia has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Biography
Virginia M. Guy, Managing Director, re-joined the firm as a Wealth Manager in 1997. Virginia uses her experience and expertise to build customized wealth management solutions designed to help her clients achieve their unique investment goals. Prior to re-joining Neuberger Berman, Virginia was the chief administrative officer and financial advisor for Grand Detour Associates, an ultra-high-net-worth family office. During this time she provided investment management, tax and estate planning guidance to her clients. Virginia began her career at Neuberger Berman in 1985 as a portfolio assistant. Virginia attended the State University of New York, Rockland, and the New York Institute of Finance.
Question & Answer
What are your service offerings?
Philanthropic services
Trading individual securities
Trust & estate planning
Institutional consulting
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
Are you a "fiduciary"?
Yes
Aliases
Virginia M Rooney | Virginia Marie Rooney | Virginia M Wolfe | Virginia Marie Wolfe
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 Virginia Marie Guy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Virginia Marie Guy'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
October 8, 2002 - 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
Current
May 19, 1997 - 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
October 13, 1993 - June 4, 1997
MAKEFIELD SECURITIES CORPORATION
BD
CRD#: 15271
STUART, FL
Past
April 23, 1986 - January 7, 1993
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
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(7/22/2002)
RR
Arkansas(8/11/2017)
RR
California(7/22/2002)
RR
Colorado(7/22/2002)
RR
Connecticut(7/22/2002)
RR
Delaware(7/22/2002)
RR
District of Columbia(7/22/2002)
RR
Florida(5/19/1997)
IAR
Florida(3/9/2021)
RR
Georgia(7/22/2002)
RR
Hawaii(12/7/2023)
RR
Idaho(2/15/2005)
RR
Illinois(7/22/2002)
RR
Indiana(4/9/2018)
RR
Kansas(9/9/2021)
RR
Louisiana(1/6/2016)
RR
Maine(9/5/2014)
RR
Maryland(7/22/2002)
RR
Massachusetts(7/23/2002)
RR
Michigan(2/10/2016)
RR
Minnesota(9/5/2014)
RR
Nevada(4/16/2008)
RR
New Hampshire(12/14/2004)
RR
New Jersey(7/5/2002)
IAR
New Jersey(10/8/2002)
RR
New Mexico(7/22/2002)
RR
New York(5/29/1997)
IAR
New York(3/26/2021)
RR
North Carolina(2/10/2012)
RR
Ohio(7/23/2002)
RR
Oregon(7/22/2002)
RR
Pennsylvania(7/22/2002)
RR
Puerto Rico(3/20/2015)
RR
Rhode Island(3/8/2018)
RR
South Carolina(9/5/2014)
RR
Texas(8/27/2013)
RR
Utah(1/23/2017)
RR
Vermont(7/23/2002)
RR
Virginia(7/22/2002)
RR
Washington(3/20/2015)
RR
Wisconsin(7/22/2002)
Exams
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
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Company Information
NEUBERGER BERMAN BD LLC
Managing DirectorCRD#: 2908West Palm Beach, FL 33401TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
