Paul J. Ferraioli
Professional summary
Paul Joseph Ferraioli, who also goes by Paul J Ferraioli, is a registered financial professional currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1997. Paul has worked at 1 firm and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Joseph Ferraioli's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 30, 1997 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104July 30, 1997 - September 17, 1998
NEUBERGER BERMAN BD LLC
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
(9/20/2025)
(7/27/2025)
(11/17/1998)
(11/17/1998)
(7/27/2025)
(7/27/2025)
(9/29/1997)
(11/18/1998)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/16/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq ISE, LLC
Nasdaq Stock Market
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
