AB
Alan S. Bernstein
NEUBERGER BERMAN BD LLC
Coral Gables, FL
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CRD#: 19989
AB
Professional summary
Alan Saul Bernstein is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Coral Gables, Florida.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. Alan has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 1, F04 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
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 Alan Saul Bernstein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Saul Bernstein'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
June 13, 2025 - Present
NEUBERGER BERMAN BD LLC
RIA
BD
CRD#: 2908
Coral Gables, FL
Current
July 24, 2025 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
June 6, 1997 - January 17, 2025
STRATIGRAPHIC ASSET MANAGEMENT, INC.
RIA
CRD#: 107119
CORAL GABLES, FL
Past
July 24, 1978 - May 1, 1989
STRATIGRAPHIC RESOURCES, INC.
BD
CRD#: 7639
Past
April 3, 1973 - April 20, 1978
HANOVER PLANNING COMPANY, INC.
BD
CRD#: 6434
Past
December 6, 1968 - December 20, 1971
LOEB RHOADES & CO
BD
CRD#: 1000001
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
IAR
Florida(6/13/2025)
RR
Florida(7/25/2025)
IAR
New York(7/30/2025)
RR
New York(8/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/24/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/2/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
F04
Date: 2/5/1973
Financial Principal ExaminationPrincipal/Supervisory Exam
RR
Series 00
Date: 1/9/1973
General Securities Principal ExaminationSRO 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.
