Richard M. Werman

NEUBERGER BERMAN BD LLC

New York, NY 10104

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CRD#: 1583066

Professional summary

Richard Mark Werman is a registered financial professional currently at NEUBERGER BERMAN BD LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Mark Werman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 3, 2002 - Present

NEUBERGER BERMAN BD LLC

Office #1: 1290 Avenue Of The Americas, New York, NY 10104

RIA

CRD#: 2908

New York, NY

Past

July 3, 2008 - June 30, 2016

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

NEW YORK, NY

Past

June 27, 1994 - September 11, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 12, 1991 - June 23, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 8, 1986 - October 5, 1988

H. L. MICHAELS SECURITIES, INC.

CRD#: 17905

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.

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

Alabama
(2/19/2003)

Alaska
(2/14/2003)

Arizona
(3/7/2003)

Arkansas
(2/18/2003)

California
(2/14/2003)

Colorado
(4/24/2003)

Connecticut
(2/14/2003)

Delaware
(2/19/2003)

District of Columbia
(2/24/2003)

Florida
(2/18/2003)

Georgia
(2/19/2003)

Hawaii
(3/31/2003)

Idaho
(2/19/2003)

Illinois
(2/18/2003)

Indiana
(2/18/2003)

Iowa
(2/18/2003)

Kansas
(2/14/2003)

Kentucky
(2/18/2003)

Louisiana
(2/18/2003)

Maine
(2/18/2003)

Maryland
(2/20/2003)

Massachusetts
(2/24/2003)

Michigan
(2/18/2003)

Minnesota
(2/24/2003)

Mississippi
(1/14/2003)

Missouri
(2/19/2003)

Montana
(2/18/2003)

Nebraska
(2/20/2003)

Nevada
(2/20/2003)

New Hampshire
(4/7/2003)

New Jersey
(2/20/2003)

New Mexico
(2/14/2003)

New York
(9/3/2002)

North Carolina
(2/14/2003)

North Dakota
(2/21/2003)

Ohio
(2/18/2003)

Oklahoma
(2/18/2003)

Oregon
(2/18/2003)

Pennsylvania
(2/19/2003)

Puerto Rico
(2/18/2003)

Rhode Island
(2/20/2003)

South Carolina
(3/24/2003)

South Dakota
(2/14/2003)

Tennessee
(2/18/2003)

Texas
(9/3/2002)

Utah
(2/18/2003)

Vermont
(2/19/2003)

Virginia
(9/3/2002)

Washington
(2/14/2003)

West Virginia
(2/18/2003)

Wisconsin
(2/17/2003)

Wyoming
(2/18/2003)

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

Series 63

Date: 7/26/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/1991

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/4/1986

Direct Participation Programs Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

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)

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)

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.

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Advisor Monitoring

Firm Stability Insights

Richard M. Werman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Mark Werman's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEUBERGER BERMAN MANAGEMENT LLC

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

H. L. MICHAELS SECURITIES, INC.

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/26/1991

SIE

Date: 10/1/2018

Series 7

Date: 7/10/1991

Series 22

Date: 12/4/1986

FINRA

Nasdaq ISE, LLC

Nasdaq Stock Market

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

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