MR
Michelle L. Rappa
NEUBERGER BERMAN BD LLC
New York, NY 10104
Some features on this profile are disabled
CRD#: 1933330
MR
Professional summary
Michelle Lauren Rappa, who also goes by Michelle Lauren Mccann, Michelle Mccann Rappa, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Michelle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Michelle has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24, Series 51 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michelle Lauren Mccann | Michelle Mccann Rappa
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.
Defined Contribution Alternatives Association (DCALTA)Start Date 9/7/2016.Non-profit industry association.DCALTA is a IRC 501(c) non-profit assoiciation that exists to advance the utilization of alternative investments within a Defined Contribution framework. Through focused research, education, and advocacy efforts we seek to better secure and enhance participant outcomes through the inclusion of Hedge Funds, Private Equity, and other alternative investments in the defined contribution model. Board Member.Help guide DCALTA's strategic direction and ensure consistency with the delivery of content and information to the defined contribution community.
Also:
appointed to the Executive Committee of DCIIA (Defined
Contribution Institutional Investment Association). Start Date 1/22/2020. DCIIA is a non-profit association dedicated to
enhancing retirement security of America's workers. It has a diverse group of members that include,
investment managers, consultants, recordkeepers, law firms, and insurance companies that work on
thought leadership to help retirement plan sponsors make better decisions for their participants. There
are 160 plus member firms with around 30 people who participate in the board. Firms include
Blackrock, Capital Group, Wellington, State Street, Empower, Transamerica, Fidelity, Mercer, Callan,
PIMCO, and many others. I will be the co-vice chair of the Investment Policy & Design committee,
chaired by someone from Aon, along with someone from PIMCO. I will also be the chair of an ESG sub-
committee to that committee. All of the DCIIA activities and thought leadership initiatives are strictly
product agnostic.
CRS (Client Relationship Summary) - RIA
Click below to view Michelle Lauren Rappa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michelle Lauren Rappa'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
November 21, 2014 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
August 25, 2014 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
June 8, 2011 - August 11, 2014
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
NEW YORK, NY
Past
October 18, 2010 - March 29, 2011
ILLUSTRO TRADING, LLC
BD
CRD#: 32792
NEW YORK, NY
Past
August 19, 1997 - November 12, 2008
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
NEW YORK, NY
Past
November 22, 1995 - May 6, 1997
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
June 6, 1991 - November 15, 1995
OCC DISTRIBUTORS LLC
BD
CRD#: 18541
NEW YORK, NY
Past
March 21, 1989 - April 24, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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
Alaska(1/31/2017)
RR
Arizona(1/31/2017)
RR
California(1/31/2017)
RR
Colorado(1/31/2017)
RR
Connecticut(1/31/2017)
RR
Delaware(11/23/2021)
RR
Florida(1/31/2017)
RR
Georgia(1/31/2017)
RR
Hawaii(1/31/2017)
RR
Idaho(1/31/2017)
RR
Illinois(1/31/2017)
RR
Indiana(1/31/2017)
RR
Maine(2/1/2017)
RR
Massachusetts(1/31/2017)
RR
Michigan(1/31/2017)
RR
Minnesota(1/31/2017)
RR
Missouri(1/31/2017)
RR
Nebraska(1/31/2017)
RR
Nevada(1/31/2017)
RR
New Jersey(11/20/2014)
IAR
New Jersey(11/21/2014)
RR
New York(8/25/2014)
IAR
New York(3/26/2021)
RR
North Dakota(1/31/2017)
RR
Ohio(1/31/2017)
RR
Oregon(1/31/2017)
RR
Pennsylvania(1/31/2017)
RR
Rhode Island(1/31/2017)
RR
South Dakota(1/31/2017)
RR
Texas(1/31/2017)
RR
Utah(1/31/2017)
RR
Virginia(6/5/2018)
RR
Washington(1/31/2017)
RR
Wisconsin(1/31/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
