James M. Schaefer
Professional summary
James Mcallister Schaefer, who also goes by James M Schaefer, is a registered financial professional currently at NEUBERGER BERMAN BD LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 1 firm and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Mcallister Schaefer's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 1997 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104October 1, 1997 - September 17, 1998
NEUBERGER BERMAN BD LLC
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
(8/12/2016)
(11/21/1997)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/15/1998
Limited Representative-Equity Trader ExamFINRA
Nasdaq ISE, LLC
Nasdaq Stock Market
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
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