Jeffrey Bolton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Bolton, who also goes by Jeffrey Bolotin, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1970. Jeffrey had worked at 4 firms and has passed the Series 65, Series 63, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 1993 - August 22, 2013
NEUBERGER BERMAN BD LLC
February 4, 1987 - August 22, 2013
NEUBERGER BERMAN BD LLC
February 3, 1983 - February 3, 1987
HAMBRECHT & QUIST LLC
December 13, 1978 - February 14, 1983
ABN AMRO SECURITIES LLC
June 4, 1970 - December 25, 1978
CIBC WORLD MARKETS CORP.
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
Exams
Series 000
Date: 10/30/1964
General Securities Principal ExaminationSeries 1
Date: 3/8/1962
Registered Representative ExaminationCurrent 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
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.
