LB
Leonard C. Berman
FIRST MANHATTAN CO. LLC
New York, NY 10022
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CRD#: 2057134
LB
Professional summary
Leonard Charles Berman is a registered financial advisor currently at FIRST MANHATTAN CO. LLC located in New York, New York and FIRST MANHATTAN SECURITIES LLC located in New York, New York.
Leonard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Leonard has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 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.
1) Wedgewood Investments LLC - 362 Lakeview Drive, Wyckoff, NJ 07481 Member. Family limited liability company that owns public and private shopping centers Organized 10/12. 1-2 hours per month devoted to business, 0 hours devoted to business during trading hours no compensation 2) Wedgewood Properties LLC - 362 Lakeview Drive, Wyckoff, NJ 07481 Member. Family limited liability company that owns public and private shopping centers Organized 10/12. 1-2 hours per month devoted to business, 0 hours devoted to business during trading hours no compensation 3) The Jewish Center - 131 West 86th Street, New York, NY 10024 Officer/Assistant Treasurer - new position as of June 2024 Charitable less than 5 hours a month devote to other business
CRS (Client Relationship Summary) - RIA
Click below to view Leonard Charles Berman'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
February 16, 2023 - Present
FIRST MANHATTAN CO. LLC
Office #1: 399 Park Avenue, New York, NY 10022RIA
CRD#: 325281
New York, NY
Current
June 5, 2006 - Present
FIRST MANHATTAN SECURITIES LLC
Office #1: 399 Park Avenue, New York, NY 10022BD
CRD#: 1845
New York, NY
Past
May 18, 2021 - March 10, 2023
FIRST MANHATTAN SECURITIES LLC
RIA
CRD#: 1845
New York, NY
Past
October 3, 1995 - March 23, 2005
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 6, 1990 - November 14, 1991
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 6, 1990 - November 14, 1991
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
FM
FIRST MANHATTAN CO. LLC
FIRST MANHATTAN CO. LLC
CRD#: 325281 / SEC#: 801-12411
RIA
Registered Investment Advisory firm - (1/13/1977 Approved)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(11/4/2015)
RR
Arizona(2/26/2020)
RR
California(2/14/2019)
RR
Colorado(8/10/2017)
RR
Connecticut(2/14/2019)
RR
District of Columbia(1/5/2011)
RR
Florida(2/26/2020)
RR
Georgia(2/14/2019)
RR
Hawaii(9/25/2024)
RR
Illinois(10/5/2015)
RR
Indiana(2/14/2019)
RR
Kentucky(2/25/2020)
RR
Louisiana(2/14/2019)
RR
Maine(10/10/2012)
RR
Maryland(1/5/2011)
RR
Massachusetts(12/14/2017)
RR
Michigan(6/17/2015)
RR
Minnesota(2/14/2019)
RR
Nevada(2/14/2019)
RR
New Hampshire(2/14/2019)
RR
New Jersey(1/5/2011)
RR
New Mexico(9/8/2023)
RR
New York(6/5/2006)
IAR
New York(2/16/2023)
RR
North Carolina(5/18/2016)
RR
Ohio(2/14/2019)
RR
Oregon(7/24/2023)
RR
Pennsylvania(2/14/2019)
RR
Rhode Island(2/14/2019)
RR
South Carolina(7/24/2023)
RR
Tennessee(9/25/2024)
RR
Texas(3/9/2015)
RR
Utah(7/24/2023)
RR
Vermont(2/14/2019)
RR
Virginia(2/14/2019)
RR
Washington(1/5/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
FM
FIRST MANHATTAN CO. LLC
FIRST MANHATTAN CO. LLC
CRD#: 325281 / SEC#: 801-12411
RIA
Registered Investment Advisory firm - (1/13/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
399 Park Avenue, New York, NY 10022
Mailing Address
Phone number
(212) 756-3300
Established
Firm type
Fiscal year end
# of Employees
132
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,722 |
| AUM (Assets Under Management) | $ 34,439,571,092 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/25/2024 | ||
| 11/28/2023 |
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.
