Gregory C. Johanson
Professional summary
Gregory Carl Johanson, who also goes by Gregory C Johanson, Gregory Johanson, is a registered financial professional currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 1994. Gregory has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory Carl Johanson's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 27, 2001 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104November 12, 1999 - February 16, 2001
ROBERT FLEMING INC.
April 12, 1994 - November 3, 1999
GLICKENHAUS & CO.
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
(2/27/2001)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/28/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 9/28/1995
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Nasdaq ISE, LLC
Nasdaq Stock Market
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
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