SC
Stephen J. Casey
NEUBERGER BERMAN BD LLC
Chicago, IL 60603
Some features on this profile are disabled
CRD#: 2228876
SC
Professional summary
Stephen John Casey, who also goes by Stephen Casey, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Chicago, Illinois.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Casey
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 Stephen John Casey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen John Casey'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
September 17, 2007 - Present
NEUBERGER BERMAN BD LLC
Office #1: 190 South Lasalle Street 23rd & 24th & 27th Floor, Chicago, IL 60603RIA
BD
CRD#: 2908
Chicago, IL
Current
September 18, 2007 - Present
NEUBERGER BERMAN BD LLC
Office #1: 190 South Lasalle Street 23rd & 24th & 27th Floor, Chicago, IL 60603RIA
BD
CRD#: 2908
Chicago, IL
Past
August 2, 2011 - June 30, 2016
NEUBERGER BERMAN MANAGEMENT LLC
BD
CRD#: 5493
CHICAGO, IL
Past
July 5, 2000 - May 2, 2002
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
November 1, 1993 - July 2, 1997
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
April 8, 1992 - August 26, 1993
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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
Alabama(1/6/2009)
RR
Alaska(2/27/2013)
RR
Arizona(2/27/2013)
RR
Arkansas(2/27/2013)
RR
California(1/6/2009)
RR
Colorado(1/6/2009)
RR
Connecticut(1/6/2009)
RR
Delaware(1/6/2009)
RR
District of Columbia(1/6/2009)
RR
Florida(1/6/2009)
RR
Georgia(1/6/2009)
RR
Hawaii(2/27/2013)
RR
Idaho(2/27/2013)
IAR
Illinois(9/17/2007)
RR
Illinois(1/6/2009)
RR
Indiana(1/6/2009)
RR
Iowa(1/6/2009)
RR
Kansas(1/6/2009)
RR
Kentucky(1/6/2009)
RR
Louisiana(1/6/2009)
RR
Maine(2/27/2013)
RR
Maryland(2/27/2013)
RR
Massachusetts(2/27/2013)
RR
Michigan(1/6/2009)
RR
Minnesota(1/6/2009)
RR
Mississippi(1/6/2009)
RR
Missouri(1/6/2009)
RR
Montana(2/27/2013)
RR
Nebraska(2/27/2013)
RR
Nevada(1/6/2009)
RR
New Hampshire(2/27/2013)
RR
New Jersey(1/6/2009)
RR
New Mexico(1/6/2009)
RR
New York(1/6/2009)
IAR
New York(3/12/2021)
RR
North Carolina(2/28/2013)
RR
North Dakota(2/27/2013)
RR
Ohio(1/7/2009)
RR
Oklahoma(2/27/2013)
RR
Oregon(2/27/2013)
RR
Pennsylvania(1/6/2009)
RR
Puerto Rico(2/27/2013)
RR
Rhode Island(2/27/2013)
RR
South Carolina(2/27/2013)
RR
South Dakota(2/27/2013)
RR
Tennessee(1/6/2009)
RR
Texas(1/6/2009)
RR
Utah(2/27/2013)
RR
Vermont(2/27/2013)
RR
Virgin Islands(2/27/2013)
RR
Virginia(1/6/2009)
RR
Washington(1/6/2009)
RR
West Virginia(2/27/2013)
RR
Wisconsin(1/6/2009)
RR
Wyoming(1/6/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
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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.
