Nikki A. Marshall
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.
Nikki Anne Marshall, who also goes by Nikki A Marshall, Nikki Marshall, was a registered financial professional .
Nikki is a previously registered financial professional and started their career in finance in 1995. Nikki had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2000 - November 7, 2025
NEUBERGER BERMAN BD LLC
January 4, 2000 - November 7, 2025
NEUBERGER BERMAN BD LLC
November 19, 1997 - January 13, 2000
SANFORD C. BERNSTEIN & CO., INC.
September 18, 1996 - November 4, 1997
CHASE INVESTMENT SERVICES CORP.
May 19, 1995 - September 18, 1996
CHEMICAL INVESTMENT SERVICES 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
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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