Thomas P. Monks

NEUBERGER BERMAN BD LLC

New York, NY 10104

Some features on this profile are disabled

CRD#: 2846095

Professional summary

Thomas Patrick Monks, who also goes by Thomas Patrick Monks, Thomas P Monks, is a registered financial professional currently at NEUBERGER BERMAN BD LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 16 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Patrick Monks | Thomas P Monks

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) - BD

Click below to view Thomas Patrick Monks'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

September 4, 2025 - Present

NEUBERGER BERMAN BD LLC

Office #1: 1290 Avenue Of The Americas, New York, NY 10104

RIA

CRD#: 2908

New York, NY

Past

October 12, 2021 - September 3, 2025

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

May 20, 2015 - September 21, 2021

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

WAYNE, PA

Past

May 18, 2015 - September 21, 2021

HARTFORD FUNDS

RIA

CRD#: 147746

Pasadena, CA

Past

November 15, 2011 - December 17, 2014

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

WHEATON, IL

Past

November 15, 2011 - December 17, 2014

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

June 7, 2010 - November 9, 2011

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

June 1, 2010 - November 9, 2011

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

February 8, 2006 - June 3, 2010

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

MANHATTAN BEACH, CA

Past

February 1, 2006 - June 1, 2010

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

March 24, 2005 - February 2, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NEW YORK, NY

Past

March 15, 2004 - February 2, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 22, 2003 - January 2, 2004

INDEPENDENT RESEARCH GROUP LLC

CRD#: 124432

NEW YORK, NY

Past

October 18, 2000 - November 30, 2001

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

April 20, 1999 - October 12, 2000

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

August 19, 1997 - April 12, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

February 10, 1997 - June 19, 1997

M.S. FARRELL & COMPANY, INC.

CRD#: 24232

SYOSSET, 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.

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

California
(9/4/2025)

Illinois
(9/4/2025)

New York
(10/4/2025)

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

IAR

Series 65

Date: 1/4/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/14/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/7/1997

General Securities Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas P. Monks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Patrick Monks's CRS (Customer Relationship Summary).

Certified licenses

Experience

DWS DISTRIBUTORS, INC.

HARTFORD FUNDS DISTRIBUTORS, LLC

HARTFORD FUNDS

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

VAN KAMPEN ADVISORS INC

INVESCO CAPITAL MARKETS, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

INDEPENDENT RESEARCH GROUP LLC

COREBRIDGE CAPITAL SERVICES, INC.

VOYA INVESTMENTS DISTRIBUTOR, LLC

SUNAMERICA SECURITIES, INC.

M.S. FARRELL & COMPANY, INC.

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/4/2005

Series 63

Date: 2/14/1997

SIE

Date: 10/1/2018

Series 7

Date: 2/7/1997

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

Similar Advisors