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NP

Nisheet Patel

NEUBERGER BERMAN BD
New York, NY 10104
Some features on this profile are disabled
CRD#: 3269893
NP

Professional summary

Nisheet Patel, who also goes by Nisheet A Patel, Nisheet Anil Patel, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.

Nisheet is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Nisheet has worked at 6 firms and has passed the Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nisheet A Patel | Nisheet Anil Patel

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) - RIA

Click below to view Nisheet Patel's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nisheet Patel'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

March 24, 2026 - Present

NEUBERGER BERMAN BD LLC

Office #1: 1290 Avenue Of The Americas, New York, NY 10104
RIA
BD
CRD#: 2908
New York, NY
Current

March 24, 2026 - Present

NEUBERGER BERMAN BD LLC

Office #1: 1290 Avenue Of The Americas, New York, NY 10104
RIA
BD
CRD#: 2908
New York, NY
Past

August 22, 2022 - November 21, 2025

EDWARD JONES

RIA
CRD#: 250
West Palm Beach, FL
Past

August 22, 2022 - November 21, 2025

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

November 3, 2017 - August 26, 2022

MORGAN STANLEY

RIA
CRD#: 149777
New York, NY
Past

November 2, 2017 - August 26, 2022

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

July 20, 2012 - May 11, 2017

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
NEW YORK, NY
Past

July 20, 2012 - May 11, 2017

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

April 27, 2011 - June 18, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JERSEY CITY, NJ
Past

November 12, 2009 - June 18, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 4, 2008 - September 4, 2009

MANAGED ACCOUNT ADVISORS LLC

RIA
CRD#: 142558
JERSEY CITY, NJ

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 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.

Highlighted states indicate IAR registrations

IAR
New York
(3/24/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/29/2008
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/11/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

NEUBERGER BERMAN BD LLC
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLCMEMBER124687
AMATO, JOSEPH VINCENTPRESIDENT, CHIEF EXECUTIVE OFFICER2210305
CETRON, BRAD ELLIOTCHIEF COMPLIANCE OFFICER4040222
CHINNI, MICHAELCHIEF FINANCIAL OFFICER5721816
HENTON, LORIN FREDMANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS3014463

Disclosures

Regulatory Event20
Arbitration5

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.

Company Information

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

CRD#: 2908New York, NY 10104

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