LH
Lorin F. Henton
NEUBERGER BERMAN BD LLC
Dallas, TX 75201
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CRD#: 3014463
LH
Professional summary
Lorin Fred Henton is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Dallas, Texas.
Lorin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Lorin has worked at 4 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Lorin Fred Henton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lorin Fred Henton'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
September 16, 2004 - Present
NEUBERGER BERMAN BD LLC
Office #1: 200 Crescent Court 18th Floor, Dallas, TX 75201RIA
BD
CRD#: 2908
Dallas, TX
Current
August 13, 2001 - Present
NEUBERGER BERMAN BD LLC
Office #1: 200 Crescent Court 18th Floor, Dallas, TX 75201RIA
BD
CRD#: 2908
Dallas, TX
Past
February 12, 2001 - June 15, 2001
PROTRADER SECURITIES L.P.
BD
CRD#: 35233
AUSTIN, TX
Past
March 22, 1999 - January 31, 2001
ACCESS BROKER.COM, INC.
BD
CRD#: 44420
RICHARDSON, TX
Past
April 30, 1998 - April 1, 1999
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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(12/17/2007)
RR
Alaska(6/24/2002)
RR
Arizona(6/24/2002)
RR
Arkansas(7/29/2016)
RR
California(7/22/2002)
RR
Colorado(6/24/2002)
RR
Connecticut(12/7/2007)
RR
Delaware(7/29/2016)
RR
District of Columbia(6/24/2002)
RR
Florida(6/24/2002)
RR
Georgia(12/7/2007)
RR
Hawaii(9/13/2024)
RR
Idaho(12/7/2007)
RR
Illinois(6/24/2002)
RR
Indiana(9/13/2024)
RR
Iowa(9/13/2024)
RR
Kansas(9/13/2024)
RR
Kentucky(12/7/2007)
RR
Louisiana(6/24/2002)
RR
Maine(2/6/2008)
RR
Maryland(6/24/2002)
RR
Massachusetts(3/7/2007)
RR
Michigan(4/28/2008)
RR
Minnesota(6/24/2002)
RR
Mississippi(9/13/2024)
RR
Missouri(8/6/2020)
RR
Montana(6/17/2019)
RR
Nebraska(9/13/2024)
RR
Nevada(12/7/2007)
RR
New Hampshire(7/29/2016)
RR
New Jersey(6/24/2002)
RR
New Mexico(6/24/2002)
RR
New York(8/13/2001)
IAR
New York(3/30/2021)
RR
North Carolina(6/24/2002)
RR
North Dakota(9/13/2024)
RR
Ohio(5/3/2004)
RR
Oklahoma(6/24/2002)
RR
Oregon(7/29/2016)
RR
Pennsylvania(9/13/2024)
RR
Puerto Rico(9/13/2024)
RR
Rhode Island(2/14/2018)
RR
South Carolina(7/29/2016)
RR
South Dakota(7/29/2016)
RR
Tennessee(9/13/2024)
RR
Texas(8/13/2001)
IAR
Texas(9/16/2004)
RR
Utah(12/7/2007)
RR
Vermont(7/29/2016)
RR
Virgin Islands(9/13/2024)
RR
Virginia(12/7/2007)
RR
Washington(6/24/2002)
RR
West Virginia(9/13/2024)
RR
Wisconsin(9/13/2024)
RR
Wyoming(9/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NEUBERGER BERMAN BD LLC
CRD#: 2908Dallas, TX 75201TRUST BUT VERIFY
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