AB
Anne F. Brennan
NEUBERGER BERMAN BD LLC
New York, NY 10104
Some features on this profile are disabled
CRD#: 2387556
AB
Professional summary
Anne Faris Brennan, who also goes by Anne F Brennan, Anne Brennan, Anne Lesley Faris, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Anne has worked at 2 firms and has passed the Series 63, SIE, Series 87, Series 3, Series 7, Series 24, Series 23, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anne F Brennan | Anne Brennan | Anne Lesley Faris
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.
University of North Carolina at Chapel Hill Foundation Investment Fund ("CHIF") (BEGAN 09/06/2019) - educational organization - investing the endowment assets of the UNC system -"Vice President of the board, as well as Chair of the Audit Committee" Role will include attending board meetings involving oversight and governance of the management of the fund (but does not include the selection of managers). Time spent includes three board meetings per year which will be done on personal time. Additional involvement will typically be less than one hour per month during trading hours. Also: GARP Buy Side Risk Managers' Forum, Industry organization, Start Date 6/3/2022, Share best practices in risk management across top asset managers, Secretary, The organization has an executive committee, including a chair, vice-chair, and secretary. Officers initially join as secretary and then rotate annually to vice-chair and then chair. The executive committee sets the agenda and runs the meetings (2-4 times per year) 2 hours a month during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Anne Faris Brennan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anne Faris Brennan'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 11, 2019 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
September 24, 2019 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
September 20, 1993 - May 26, 2016
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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.Highlighted states indicate IAR registrations
IAR
New Jersey(9/11/2019)
IAR
New York(3/12/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
