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Brian K. Brown

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CRD#: 1699649
BB

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.

Brian Keith Brown, CFP® was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1987. Brian had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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®
CFP®

Certified Financial Planner

Experience

Past

August 7, 2006 - June 22, 2022

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
ATLANTA, GA
Past

July 12, 2006 - June 22, 2022

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
ATLANTA, GA
Past

September 2, 2003 - August 4, 2005

BROADPOINT AMTECH, INC.

BD
CRD#: 121456
GREENWICH, CT
Past

October 14, 1998 - June 6, 2003

PACIFIC CREST SECURITIES LLC

BD
CRD#: 6619
PORTLAND, OR
Past

April 3, 1992 - April 2, 1996

VOLPE BROWN WHELAN & COMPANY, LLC

BD
CRD#: 18329
SAN FRANCISCO, CA
Past

July 21, 1987 - October 26, 1990

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA

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 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/3/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/12/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/29/2007
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/26/2007
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/16/1999
General Securities Principal Examination

Current Firm

NEUBERGER BERMAN BD LLC
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLCMEMBER124687
AMATO, JOSEPH VINCENTPRESIDENT, CHIEF EXECUTIVE OFFICER2210305
CETRON, BRAD ELLIOTCHIEF COMPLIANCE OFFICER4040222
CHINNI, MICHAELCHIEF FINANCIAL OFFICER5721816
HENTON, LORIN FREDMANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS3014463

Disclosures

Regulatory Event20
Arbitration5

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

NEUBERGER BERMAN BD LLC

CRD#: 2908

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