Holly N. Kroft
NEUBERGER BERMAN BD LLC | Managing Director
New York, NY 10104
Some features on this profile are disabled
CRD#: 2521521
Professional summary
Holly Newman Kroft, who also goes by Holly Beth Newman, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Holly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Holly has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
Holly Newman Kroft, Managing Director, joined the firm as a Wealth Advisor in 2005. Holly works closely with ultra-high net worth individuals and their families to help develop customized investment solutions and address estate planning needs. She also focuses on addressing the unique investment needs of endowments and foundations, from identifying cash flow needs to proper asset allocation and portfolio manager proposals. Previously, Holly held investment banking positions at several institutions. She began her career in 1995 as an investment banking analyst at Oppenheimer & Company and later moved onto working at several boutique media advisory firms, specializing in private equity transactions, mergers & acquisitions and providing strategic advice to media and telecommunications companies. Barron's has consistently ranked Holly among the top advisors in the nation, most recent rankings include #2 in the Top 100 Women Financial Advisors, #33 in the Top 100 Financial Advisors overall, #5 for New York, and #5 in the Top 100 Independent Wealth Advisors in the nation. Holly was named one of the 50 Most Influential Women in Private Wealth by Private Asset Management Magazine in 2015. She has participated on FOX Business’s “Wall Street Week” and Barron's Roundtable, CNBC, Yahoo Finance's On the Move and Bloomberg's Inspired Investing Conference. Holly serves on the Board of the Jewish Communal Fund, and the Advisory Committee for the Hassenfeld Foundation.
Question & Answer
What are your service offerings?
Financial planning
Trust & estate planning
Trading individual securities
Institutional consulting
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
Yes
Aliases
Holly Beth Newman
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Holly Newman Kroft's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Holly Newman Kroft'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
February 11, 2006 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
May 9, 2005 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
August 5, 2003 - November 29, 2004
AON SECURITIES LLC
BD
CRD#: 4138
CHICAGO, IL
Past
January 3, 2002 - February 19, 2003
COMMUNICATIONS EQUITY ASSOCIATES, LLC
BD
CRD#: 13382
TAMPA, FL
Past
August 3, 1999 - March 5, 2001
GLEACHER PARTNERS LLC
BD
CRD#: 47342
NEW YORK, NY
Past
March 27, 1998 - July 16, 1999
RBC DANIELS, L.P.
BD
CRD#: 14073
DENVER, CO
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
Alaska(8/21/2013)
RR
Arizona(9/17/2009)
RR
California(5/12/2005)
RR
Colorado(5/12/2005)
RR
Connecticut(5/12/2005)
RR
Delaware(4/23/2007)
RR
District of Columbia(5/12/2005)
RR
Florida(5/12/2005)
RR
Georgia(9/17/2009)
RR
Hawaii(8/27/2024)
RR
Idaho(6/3/2024)
RR
Illinois(5/12/2005)
RR
Indiana(9/17/2009)
RR
Iowa(12/14/2005)
RR
Kansas(10/30/2009)
RR
Kentucky(11/14/2019)
RR
Maine(6/1/2015)
RR
Maryland(5/12/2005)
RR
Massachusetts(4/23/2007)
RR
Michigan(9/5/2014)
RR
Minnesota(9/16/2009)
RR
Mississippi(3/1/2020)
RR
Missouri(4/23/2007)
RR
Nevada(4/13/2007)
RR
New Hampshire(9/17/2009)
RR
New Jersey(5/12/2005)
IAR
New Jersey(2/11/2006)
RR
New Mexico(2/14/2019)
RR
New York(5/9/2005)
IAR
New York(3/29/2021)
RR
North Carolina(9/17/2009)
RR
Ohio(4/24/2007)
RR
Oklahoma(10/5/2017)
RR
Oregon(1/10/2023)
RR
Pennsylvania(5/12/2005)
RR
Puerto Rico(8/5/2022)
RR
Rhode Island(9/5/2014)
RR
South Carolina(12/22/2008)
RR
South Dakota(10/28/2022)
RR
Tennessee(4/13/2007)
RR
Texas(9/17/2009)
RR
Utah(9/5/2014)
RR
Vermont(12/22/2008)
RR
Virginia(5/12/2005)
RR
Washington(6/30/2008)
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.
Company Information
NEUBERGER BERMAN BD LLC
Managing DirectorCRD#: 2908New York, NY 10104TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
