Eric J. Karlson
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.
Eric James Karlson was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1998. Eric had worked at 2 firms and has passed the Series 66, Series 63, Series 79TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2022 - May 26, 2026
NEUBERGER BERMAN BD LLC
October 31, 2022 - May 26, 2026
NEUBERGER BERMAN BD LLC
August 26, 1998 - June 8, 2001
GE CAPITAL MARKETS, 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 79TO
Date: 9/12/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 10/31/2022
General Securities Representative 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
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