Irwin Lainoff
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.
Irwin Lainoff was a registered financial professional .
Irwin is a previously registered financial professional and started their career in finance in 1972. Irwin had worked at 5 firms and has passed the Series 63, Series 41, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 1979 - December 31, 2000
NEUBERGER BERMAN BD LLC
July 25, 1979 - December 31, 2000
NEUBERGER BERMAN MANAGEMENT LLC
June 17, 1976 - June 6, 1980
CNA MANAGEMENT CORPORATION
July 14, 1972 - December 5, 1975
CNA SALES, INC.
May 17, 1972 - May 31, 1979
T M R SECURITIES, INC.
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
Exams
Series 41
Date: 12/17/1983
NYSE Allied Member ExaminationSeries 40
Date: 6/3/1976
Registered Principal ExaminationCurrent 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.
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