Dean G. Dumonthier

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CRD#: 2721796

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.

Dean Gerald Dumonthier was a registered financial professional .

Dean is a previously registered financial professional and started their career in finance in 1998. Dean had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 29, 2014 - September 6, 2016

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

CHICAGO, IL

Past

May 13, 2014 - September 6, 2016

NEUBERGER BERMAN BD LLC

CRD#: 2908

CHICAGO, IL

Past

February 8, 2007 - March 22, 2007

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

December 19, 2006 - March 22, 2007

MORGAN STANLEY INVESTMENT ADVISORS INC.

RIA

CRD#: 104525

CHICAGO, IL

Past

November 18, 2005 - July 5, 2006

NEUBERGER BERMAN BD LLC

CRD#: 2908

CHICAGO, IL

Past

July 8, 2003 - August 18, 2005

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 25, 2001 - November 5, 2001

ARTISAN PARTNERS DISTRIBUTORS LLC

CRD#: 45446

MILWAUKEE, WI

Past

May 14, 1998 - January 10, 2001

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 4/20/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/17/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 9/6/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/2014

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 8/28/1998

National Commodity Futures Examination

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.

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Firm Stability Insights

Dean G. Dumonthier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

MORGAN STANLEY DISTRIBUTION, INC.

MORGAN STANLEY INVESTMENT ADVISORS INC.

NEUBERGER BERMAN BD LLC

LEHMAN BROTHERS INC.

ARTISAN PARTNERS DISTRIBUTORS LLC

STRONG INVESTMENTS, INC.

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/20/2015

Series 65

Date: 8/17/1998

SIE

Date: 9/6/2016

Series 7

Date: 5/12/2014

Series 3

Date: 8/28/1998

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

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