Carter P. Reynolds
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carter Pruyn Reynolds, who also goes by Carter P Reynolds, was a registered financial professional .
Carter is a previously registered financial professional and started their career in finance in 1995. Carter had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2009 - April 6, 2021
NEUBERGER BERMAN BD LLC
April 16, 2008 - April 6, 2021
NEUBERGER BERMAN BD LLC
June 30, 2006 - April 17, 2008
LEHMAN BROTHERS INC.
February 2, 2005 - June 12, 2006
MORGAN STANLEY & CO. LLC
February 10, 1999 - January 25, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
August 31, 1995 - February 20, 1996
UBS ASSET MANAGEMENT (US) INC.
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
Exams
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
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.
