PK
Patrick W. Kenefick
NEUBERGER BERMAN BD LLC
Tampa, FL 33602
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CRD#: 2536500
PK
Professional summary
Patrick Warren Kenefick is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Tampa, Florida.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Patrick has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Patrick Warren Kenefick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Warren Kenefick'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
May 8, 2012 - Present
NEUBERGER BERMAN BD LLC
Office #1: 401 East Jackson Street Suite 2350, Tampa, FL 33602RIA
BD
CRD#: 2908
Tampa, FL
Current
May 2, 2012 - Present
NEUBERGER BERMAN BD LLC
Office #1: 401 East Jackson Street Suite 2350, Tampa, FL 33602RIA
BD
CRD#: 2908
Tampa, FL
Past
August 30, 2004 - November 28, 2006
MERRILL LYNCH TRUST COMPANY
RIA
CRD#: 108469
SAINT PETERSBURG, FL
Past
August 30, 2004 - May 1, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAINT PETERSBURG, FL
Past
August 24, 2004 - May 1, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 13, 2003 - July 15, 2004
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
SARASOTA, FL
Past
November 26, 2002 - July 15, 2004
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
June 21, 2002 - November 29, 2002
BNY MELLON SECURITIES LLC
BD
CRD#: 47268
JERSEY CITY, NJ
Past
August 17, 1998 - June 16, 2000
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
October 6, 1994 - January 4, 1995
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
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
Alabama(5/14/2012)
RR
California(1/2/2015)
RR
Colorado(11/30/2012)
RR
Connecticut(6/22/2017)
RR
Florida(5/8/2012)
IAR
Florida(5/8/2012)
RR
Georgia(5/3/2012)
RR
Illinois(5/2/2012)
RR
Iowa(4/10/2020)
RR
Louisiana(12/3/2012)
RR
Massachusetts(9/8/2014)
RR
Michigan(6/1/2021)
RR
Minnesota(11/3/2020)
RR
Missouri(2/9/2017)
RR
Nebraska(11/4/2022)
RR
Nevada(9/10/2014)
RR
New Jersey(5/10/2012)
RR
New York(5/9/2012)
IAR
New York(3/29/2021)
RR
North Carolina(5/4/2012)
RR
Puerto Rico(2/11/2022)
RR
Rhode Island(1/14/2013)
RR
South Carolina(5/17/2012)
RR
Tennessee(5/10/2012)
RR
Texas(5/16/2012)
RR
Virginia(1/14/2013)
RR
Wyoming(9/5/2014)
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.
