Mark A. Pottle

NEUBERGER BERMAN BD LLC

Dallas, TX 75201

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CRD#: 2619029

Professional summary

Mark Alan Pottle is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Dallas, Texas.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Mark has worked at 7 firms and has passed the Series 65, Series 66, Series 63, Series 31, SIE, Series 7 and Series 26 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Pottle's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mark Alan Pottle's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 12, 2015 - Present

NEUBERGER BERMAN BD LLC

Office #1: 200 Crescent Court 18th Floor, Dallas, TX 75201

RIA

CRD#: 2908

Dallas, TX

Current

May 5, 2015 - Present

NEUBERGER BERMAN BD LLC

Office #1: 200 Crescent Court 18th Floor, Dallas, TX 75201

RIA

CRD#: 2908

Dallas, TX

Past

November 30, 2011 - April 15, 2015

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

DALLAS, TX

Past

May 19, 2011 - November 22, 2011

TD AMERITRADE, INC.

RIA

CRD#: 7870

SOUTHLAKE, TX

Past

May 19, 2011 - November 22, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SOUTHLAKE, TX

Past

April 25, 2011 - November 22, 2011

TD AMERITRADE, INC.

CRD#: 7870

SOUTHLAKE, TX

Past

January 1, 2008 - September 30, 2010

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

January 24, 2003 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

WESTLAKE, TX

Past

May 4, 1999 - October 30, 2002

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

November 14, 1995 - May 4, 1999

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

August 9, 1995 - August 29, 1995

L.C. WEGARD & CO., INC.

CRD#: 3722

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)

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.

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

Arizona
(5/5/2015)

California
(3/9/2018)

Colorado
(5/5/2015)

Hawaii
(2/14/2024)

Kansas
(5/5/2015)

Missouri
(1/23/2018)

Nevada
(1/27/2020)

New Mexico
(5/5/2015)

New York
(5/5/2015)

IAR

New York
(3/29/2021)

Oklahoma
(5/5/2015)

Texas
(5/5/2015)

IAR

Texas
(6/12/2015)

Utah
(5/5/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/12/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/16/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/10/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 1/26/2023

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/7/2008

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

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)

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLC	MEMBER	124687
AMATO, JOSEPH VINCENT	PRESIDENT, CHIEF EXECUTIVE OFFICER	2210305
CETRON, BRAD ELLIOT	CHIEF COMPLIANCE OFFICER	4040222
CHINNI, MICHAEL	CHIEF FINANCIAL OFFICER	5721816
HENTON, LORIN FRED	MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS	3014463

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Mark A. Pottle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Pottle's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mark Alan Pottle's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

L.C. WEGARD & CO., INC.

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/12/2015

Series 66

Date: 5/16/2011

Series 63

Date: 8/10/1995

Series 31

Date: 1/26/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/8/1995

Series 26

Date: 4/7/2008

FINRA

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

NEUBERGER BERMAN BD LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEUBERGER BERMAN BD LLC

TRUST BUT VERIFY

Contact information

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