John A. Woodbyrne

Some features on this profile are disabled

CRD#: 1546646

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Anthony Woodbyrne, who also goes by John Woodbyrne, Woody Woodbyrne, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1987. John had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 5, Series 53, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Woodbyrne | Woody Woodbyrne

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 9, 2009 - May 1, 2018

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

May 5, 2009 - May 1, 2018

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

July 2, 2007 - March 3, 2009

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

March 14, 2002 - September 30, 2005

GE INVESTMENT DISTRIBUTORS, INC

CRD#: 32087

STAMFORD, CT

Past

November 19, 1992 - March 28, 2000

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

November 14, 1989 - March 14, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

July 25, 1987 - January 17, 1989

HSBC SECURITIES (USA) INC.

CRD#: 19585

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/8/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/14/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/29/1993

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 12/15/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 7/30/1986

Interest Rate Options Examination

Principal/Supervisory Exam

Series 53

Date: 12/13/2010

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 6/1/2010

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/26/2010

General Securities Sales Supervisor - Options Module Examination

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLC	MEMBER	124687
AMATO, JOSEPH VINCENT	PRESIDENT, CHIEF EXECUTIVE OFFICER	2210305
CETRON, BRAD ELLIOT	CHIEF COMPLIANCE OFFICER	4040222
CHINNI, MICHAEL	CHIEF FINANCIAL OFFICER	5721816
HENTON, LORIN FRED	MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS	3014463

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John A. Woodbyrne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

GE INVESTMENT DISTRIBUTORS, INC

HSBC SECURITIES (USA) INC.

DREXEL BURNHAM LAMBERT INCORPORATED

HSBC SECURITIES (USA) INC.

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/8/2009

Series 63

Date: 7/14/1994

SIE

Date: 5/1/2018

Series 7

Date: 3/29/1993

Series 3

Date: 12/15/1986

Series 5

Date: 7/30/1986

Series 53

Date: 12/13/2010

Series 10

Date: 6/1/2010

Series 9

Date: 1/26/2010

Current Firm

NEUBERGER BERMAN BD LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEUBERGER BERMAN BD LLC

TRUST BUT VERIFY

Similar Advisors