Zain Naqi
NEUBERGER BERMAN BD LLC | Wealth Advisor
West Palm Beach, FL 33401
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CRD#: 1869010
Professional summary
Zain Naqi, who also goes by Azin Naoi, Syed A A Naqi, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in West Palm Beach, Florida.
Zain is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Zain has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
What are your service offerings?
Philanthropic services
Institutional consulting
Trust & estate planning
Trading individual securities
Financial planning
Loans/credit services
Retirement planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
Yes
Aliases
Azin Naoi | Syed A A Naqi
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 Zain Naqi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Zain Naqi'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
January 18, 2018 - 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
November 6, 2017 - 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
February 18, 1994 - July 10, 2001
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
July 19, 1993 - February 4, 1994
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
Past
November 30, 1989 - February 4, 1994
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
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
Alabama(1/20/2018)
RR
Alaska(1/20/2018)
RR
Arizona(1/20/2018)
RR
Arkansas(1/20/2018)
RR
California(1/20/2018)
RR
Colorado(1/20/2018)
RR
Connecticut(1/20/2018)
RR
Delaware(1/20/2018)
RR
District of Columbia(1/20/2018)
RR
Florida(1/20/2018)
IAR
Florida(10/14/2020)
RR
Georgia(1/20/2018)
RR
Hawaii(1/20/2018)
RR
Idaho(1/20/2018)
RR
Illinois(1/20/2018)
RR
Indiana(1/20/2018)
RR
Iowa(1/20/2018)
RR
Kansas(1/20/2018)
RR
Kentucky(1/20/2018)
RR
Louisiana(1/20/2018)
RR
Maine(1/20/2018)
RR
Maryland(1/20/2018)
RR
Massachusetts(1/20/2018)
RR
Michigan(1/20/2018)
RR
Minnesota(1/20/2018)
RR
Mississippi(1/20/2018)
RR
Missouri(1/20/2018)
RR
Montana(1/20/2018)
RR
Nebraska(1/20/2018)
RR
Nevada(1/20/2018)
RR
New Hampshire(1/20/2018)
RR
New Jersey(1/18/2018)
IAR
New Jersey(1/18/2018)
RR
New Mexico(1/20/2018)
RR
New York(1/18/2018)
IAR
New York(3/26/2021)
RR
North Carolina(1/22/2018)
RR
North Dakota(1/20/2018)
RR
Ohio(1/21/2018)
RR
Oklahoma(1/20/2018)
RR
Oregon(1/20/2018)
RR
Pennsylvania(1/20/2018)
RR
Puerto Rico(1/20/2018)
RR
Rhode Island(1/20/2018)
RR
South Carolina(1/20/2018)
RR
South Dakota(1/20/2018)
RR
Tennessee(1/20/2018)
RR
Texas(1/20/2018)
RR
Utah(1/20/2018)
RR
Vermont(1/20/2018)
RR
Virgin Islands(1/20/2018)
RR
Virginia(1/20/2018)
RR
Washington(1/20/2018)
RR
West Virginia(1/20/2018)
RR
Wisconsin(1/20/2018)
RR
Wyoming(1/20/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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
Wealth AdvisorCRD#: 2908West Palm Beach, FL 33401TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
