RG
Richard Gabriele
NEUBERGER BERMAN BD LLC
New York, NY 10104
Some features on this profile are disabled
CRD#: 2808056
RG
Professional summary
Richard Gabriele is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 31, Series 7, Series 24, Series 10, Series 9 and Series 4 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.
Entity Name: RG Global Enterprises LLC Investment related: No Address: Brooklyn, NY Nature of the other business: LLC is currently invested in a marketing business as a passive investor/investment. Position/Title/Relationship: Partial Owner Start Date: 12-Oct-2017 Approximate # of hours a month: 1 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Passive Investor
CRS (Client Relationship Summary) - RIA
Click below to view Richard Gabriele's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Gabriele'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
August 16, 2022 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
August 15, 2022 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
May 30, 2018 - September 15, 2020
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Brooklyn, NY
Past
May 24, 2018 - September 15, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Brooklyn, NY
Past
February 16, 2017 - September 27, 2017
CITI PRIVATE ALTERNATIVES, LLC
BD
CRD#: 153777
New York, NY
Past
November 16, 2015 - September 27, 2017
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
July 23, 2015 - September 27, 2017
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 1, 2008 - August 3, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
July 5, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
December 1, 2004 - July 10, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
FRESH MEADOWS, NY
Past
August 5, 2003 - November 5, 2004
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
November 1, 1999 - August 7, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 10, 1999 - September 27, 1999
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
September 29, 1998 - June 15, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
November 25, 1996 - December 8, 1997
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
BROOKLYN, 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(8/17/2022)
RR
Alaska(9/2/2022)
RR
Arizona(8/30/2022)
RR
Arkansas(8/17/2022)
RR
California(8/17/2022)
RR
Colorado(8/18/2022)
RR
Connecticut(8/17/2022)
RR
Delaware(8/19/2022)
RR
District of Columbia(8/26/2022)
RR
Florida(8/18/2022)
RR
Georgia(8/19/2022)
RR
Hawaii(8/25/2022)
RR
Idaho(8/17/2022)
RR
Illinois(8/29/2022)
RR
Indiana(8/17/2022)
RR
Iowa(8/18/2022)
RR
Kansas(8/17/2022)
RR
Kentucky(8/22/2022)
RR
Louisiana(8/22/2022)
RR
Maine(8/17/2022)
RR
Maryland(8/18/2022)
RR
Massachusetts(8/17/2022)
RR
Michigan(8/18/2022)
RR
Minnesota(8/18/2022)
RR
Mississippi(8/24/2022)
RR
Missouri(8/18/2022)
RR
Montana(8/17/2022)
RR
Nebraska(8/17/2022)
RR
Nevada(8/23/2022)
RR
New Hampshire(8/23/2022)
RR
New Jersey(8/17/2022)
RR
New Mexico(8/18/2022)
RR
New York(8/16/2022)
IAR
New York(8/16/2022)
RR
North Carolina(8/18/2022)
RR
North Dakota(8/22/2022)
RR
Ohio(8/17/2022)
RR
Oklahoma(8/22/2022)
RR
Oregon(8/18/2022)
RR
Pennsylvania(8/18/2022)
RR
Puerto Rico(8/17/2022)
RR
Rhode Island(8/24/2022)
RR
South Carolina(8/17/2022)
RR
South Dakota(8/17/2022)
RR
Tennessee(8/18/2022)
RR
Texas(8/19/2022)
RR
Utah(8/17/2022)
RR
Vermont(8/18/2022)
RR
Virgin Islands(8/18/2022)
RR
Virginia(8/18/2022)
RR
Washington(8/17/2022)
RR
West Virginia(8/18/2022)
RR
Wisconsin(8/18/2022)
RR
Wyoming(8/19/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/21/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO 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
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.
