LT
Lee J. Tawil
NEUBERGER BERMAN BD LLC
New York, NY 10104
Some features on this profile are disabled
CRD#: 1963664
LT
Professional summary
Lee Jeffrey Tawil, CFA, who also goes by Lee J Tawil, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Lee has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lee J Tawil
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.
Neuberger Berman BD LLC ("NBBD") is a wholly owned subsidiary of Neuberger Berman Investment Advisers LLC, ("NBIA") a registered investment adviser, which shares offices with each NBBD office. Concurrent with the Registered Representative's duties to NBBD throughout the Registered Representative's period of employment at NBBD, they also provide portfolio management services to various NBBD clients, including separate accounts and pooled investment vehicles, which are managed by NBIA, on an ongoing basis.
CRS (Client Relationship Summary) - RIA
Click below to view Lee Jeffrey Tawil's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lee Jeffrey Tawil'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®
Experience
Current
September 3, 2009 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
February 27, 2003 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
February 24, 1992 - December 12, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
Arizona(11/21/2006)
RR
California(11/21/2006)
RR
Colorado(11/21/2006)
RR
Connecticut(10/2/2017)
RR
Delaware(6/11/2021)
RR
Florida(11/21/2006)
RR
Georgia(11/21/2006)
RR
Illinois(11/21/2006)
RR
Louisiana(11/21/2006)
RR
Maine(11/21/2006)
RR
Maryland(10/2/2018)
RR
Massachusetts(11/21/2006)
RR
Michigan(11/21/2006)
RR
Minnesota(11/21/2006)
RR
Missouri(8/3/2023)
RR
Montana(11/21/2006)
RR
New Hampshire(6/16/2020)
RR
New Jersey(11/21/2006)
IAR
New Jersey(9/3/2009)
RR
New Mexico(12/13/2012)
RR
New York(2/27/2003)
IAR
New York(3/9/2021)
RR
North Carolina(6/5/2018)
RR
Ohio(11/22/2006)
RR
Oregon(11/21/2006)
RR
Pennsylvania(10/14/2014)
RR
Rhode Island(5/7/2021)
RR
South Carolina(10/31/2019)
RR
Tennessee(8/29/2017)
RR
Texas(11/21/2006)
RR
Utah(8/3/2023)
RR
Vermont(2/3/2017)
RR
Virginia(11/21/2006)
RR
Washington(6/19/2018)
RR
Wyoming(4/18/2019)
Exams
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
