William R. Covode
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.
William Russell Covode, who also goes by Russ Covode, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2013 - July 19, 2022
NEUBERGER BERMAN BD LLC
August 10, 2011 - June 30, 2016
NEUBERGER BERMAN MANAGEMENT LLC
March 6, 2006 - July 19, 2022
NEUBERGER BERMAN BD LLC
September 29, 1998 - February 2, 2001
BANC ONE CAPITAL MARKETS, INC.
November 10, 1994 - September 3, 1998
BANCAMERICA SECURITIES, INC.
January 24, 1989 - January 4, 1991
S.G. WARBURG & CO. INC.
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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