PZ
Patricia M. Zollar
NEUBERGER BERMAN BD LLC
New York, NY 10104
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CRD#: 2319179
PZ
Professional summary
Patricia Miller Zollar, who also goes by Pat Miller, Patricia Lee Miller, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Patricia has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pat Miller | Patricia Lee Miller
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.
Robert Wood Johnson Foundation, Charitable, The Robert Wood Johnson Foundation (RWJF) is the nation's largest philanthropy dedicated solely to health. Member of the RWJF Investment Committee. The duties of the IC are: 1. Review and approve the RWJF investment policies and guidelines; 2. Review and approve the RWJF asset allocation targets; 3. Provide oversight and review of the RWJF investment results and capabilities and effectiveness of the Investment department staff; and 4. Delegate certain investment related responsibilities to the Investment department staff and/or external managers. Start Date:12/02/2020, One hour a month devoted during Trading Hours. One hour a month devoted during Non Trading Hours. Robert Wood Johnson Foundation, Charitable, The Robert Wood Johnson Foundation (RWJF) is the nation's largest philanthropy dedicated solely to health. Board of Trustees. Start Date: 10/22/2025. The Board of the Robert Wood Johnson Foundation plays an active role in the mission of the Foundation, working with the president and CEO and senior leadership team to guide the strategic direction and impact of RWJF. Five business hours devoted per month. Twelve after business hours devoted per month.
CRS (Client Relationship Summary) - RIA
Click below to view Patricia Miller Zollar's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patricia Miller Zollar'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
March 25, 2009 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
September 19, 2008 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
May 20, 2004 - September 24, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 22, 1998 - February 21, 2003
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
October 15, 1996 - June 5, 1998
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
June 7, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
BD
CRD#: 7242
Past
June 7, 1993 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
BD
CRD#: 19655
Past
June 7, 1993 - November 21, 1995
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 1, 1993 - December 1, 1994
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, 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".
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
California(9/19/2008)
RR
Connecticut(9/19/2008)
RR
District of Columbia(9/19/2008)
RR
Florida(9/19/2008)
RR
Georgia(9/19/2008)
RR
Illinois(9/19/2008)
RR
Maryland(9/19/2008)
RR
Michigan(9/19/2008)
RR
New Jersey(9/19/2008)
IAR
New Jersey(3/25/2009)
RR
New York(9/19/2008)
IAR
New York(3/29/2021)
RR
North Carolina(9/19/2008)
RR
Pennsylvania(9/19/2008)
RR
Texas(9/19/2008)
RR
Virginia(9/19/2008)
RR
Wisconsin(9/19/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
