RD
Robert D. Dishner
NEUBERGER BERMAN BD LLC
London, SW1E 65Q
Some features on this profile are disabled
CRD#: 4205042
RD
Professional summary
Robert Dean Dishner, who also goes by Robert D. Dishner, Robert Dean Dishner, Robert Dishner, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC .
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert D. Dishner | Robert Dean Dishner | Robert Dishner
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.
Neuberger Berman BD LLC ("NBBD") is a wholly owned subsidiary of Neuberger Berman Investment Advisers LLC, ("NBIA") a registered investment adviser, which shares offices with each NBBD office. Concurrent with the Registered Representative's duties to NBBD throughout the Registered Representative's period of employment at NBBD, they also provide portfolio management services to various NBBD clients, including separate accounts and pooled investment vehicles, which are managed by NBIA, on an ongoing basis.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Dean Dishner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Dean Dishner'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
August 5, 2019 - Present
NEUBERGER BERMAN BD LLC
Office #1: The Zig Zag Building 70 Victoria Street, London, SW1E 65QRIA
BD
CRD#: 2908
London,
Current
June 14, 2019 - Present
NEUBERGER BERMAN BD LLC
Office #1: 190 South Lasalle Street 23rd & 24th & 27th Floor, Chicago, IL 60603RIA
BD
CRD#: 2908
Chicago, IL
Past
March 17, 2003 - March 5, 2007
SHEPHERD TRADING LIMITED
BD
CRD#: 39591
ST. FRANCIS, WI
Past
March 10, 2003 - July 6, 2007
RELIANT TRADING
BD
CRD#: 32496
ST. FRANCIS, WI
Past
November 27, 2000 - March 14, 2003
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, 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)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
Illinois(8/5/2019)
IAR
Illinois(8/5/2019)
RR
New York(8/5/2019)
IAR
New York(3/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/14/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/6/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product 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)
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)
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NEUBERGER BERMAN BD LLC
CRD#: 2908London, SW1E 65QTRUST BUT VERIFY
Monitor Robert Dishner
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
