PR
Peter F. Raith
NEUBERGER BERMAN BD LLC
CHICAGO, IL 60603
Some features on this profile are disabled
CRD#: 2388580
PR
Professional summary
Peter Francis Raith, who also goes by Peter Raith, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Chicago, Illinois.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Peter has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter Raith
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 Peter Francis Raith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Francis Raith'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
July 17, 2012 - Present
NEUBERGER BERMAN BD LLC
Office #1: 190 South Lasalle Street 23rd & 24th & 27th Floor, Chicago, IL 60603RIA
BD
CRD#: 2908
CHICAGO, IL
Current
June 15, 2010 - Present
NEUBERGER BERMAN BD LLC
Office #1: 190 South Lasalle Street 23rd & 24th & 27th Floor, Chicago, IL 60603RIA
BD
CRD#: 2908
CHICAGO, IL
Past
July 26, 2005 - February 17, 2009
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
CHICAGO, IL
Past
April 22, 2003 - July 26, 2005
MORGAN STANLEY MARKET PRODUCTS INC.
BD
CRD#: 19794
NEW YORK, NY
Past
April 22, 2003 - July 26, 2005
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
March 5, 2001 - April 1, 2003
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 2, 1995 - December 13, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 2, 1994 - July 5, 1995
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
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
Illinois(6/15/2010)
IAR
Illinois(7/17/2012)
RR
New York(6/15/2010)
IAR
New York(3/29/2021)
Exams
State Security Law Exam
State Security Law 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.
