RS
Richard J. Szelc
NEUBERGER BERMAN BD LLC | Managing Director
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 2573166
RS
Professional summary
Richard James Szelc, who also goes by Richard Szelc, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Dallas, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 2 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
10M
Are you a "fiduciary"?
Yes
Aliases
Richard Szelc
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 Richard James Szelc's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard James Szelc'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
April 28, 2004 - Present
NEUBERGER BERMAN BD LLC
Office #1: 200 Crescent Court 18th Floor, Dallas, TX 75201RIA
BD
CRD#: 2908
Dallas, TX
Current
June 26, 2000 - Present
NEUBERGER BERMAN BD LLC
Office #1: 200 Crescent Court 18th Floor, Dallas, TX 75201RIA
BD
CRD#: 2908
Dallas, TX
Past
October 17, 1997 - July 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
BD
CRD#: 1232
NEW YORK, NY
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(11/23/2005)
RR
Alaska(1/12/2017)
RR
Arizona(7/22/2002)
RR
Arkansas(11/4/2009)
RR
California(7/3/2001)
RR
Colorado(7/3/2001)
RR
Connecticut(12/7/2007)
RR
Delaware(3/7/2002)
RR
District of Columbia(6/24/2002)
RR
Florida(5/21/2001)
RR
Georgia(12/7/2007)
RR
Hawaii(8/24/2006)
RR
Idaho(4/26/2006)
IAR
Illinois(8/25/2006)
RR
Illinois(6/19/2018)
RR
Indiana(9/13/2024)
RR
Iowa(9/13/2024)
RR
Kansas(6/24/2005)
RR
Kentucky(12/7/2007)
RR
Louisiana(6/27/2000)
RR
Maine(2/6/2008)
RR
Maryland(6/24/2002)
RR
Massachusetts(7/3/2001)
RR
Michigan(9/13/2024)
RR
Minnesota(9/14/2017)
RR
Mississippi(11/7/2008)
RR
Missouri(6/28/2000)
RR
Montana(7/20/2012)
RR
Nebraska(1/24/2012)
RR
Nevada(1/13/2004)
RR
New Hampshire(8/26/2016)
RR
New Jersey(12/7/2007)
RR
New Mexico(7/12/2001)
RR
New York(6/26/2000)
IAR
New York(3/29/2021)
RR
North Carolina(8/6/2001)
RR
North Dakota(9/13/2024)
RR
Ohio(7/2/2002)
RR
Oklahoma(6/27/2000)
RR
Oregon(9/5/2014)
RR
Pennsylvania(3/6/2007)
RR
Puerto Rico(9/13/2024)
RR
Rhode Island(3/20/2018)
RR
South Carolina(8/1/2016)
RR
South Dakota(8/3/2016)
RR
Tennessee(11/7/2008)
RR
Texas(6/26/2000)
IAR
Texas(4/28/2004)
RR
Utah(12/7/2007)
RR
Vermont(9/5/2014)
RR
Virgin Islands(9/13/2024)
RR
Virginia(6/14/2004)
RR
Washington(2/20/2002)
RR
West Virginia(9/13/2024)
RR
Wisconsin(9/13/2024)
RR
Wyoming(9/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 12/9/1994
Non-Member General Securities ExaminationSRO 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NEUBERGER BERMAN BD LLC
Managing DirectorCRD#: 2908Dallas, TX 75201TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
